Download Security Management System User Manual

Security Management System
Oracle FLEXCUBE Universal Banking
Release 12.0
[May] [2012]
Oracle Part Number E51527-01
Security Management System
Table of Contents
1.
ABOUT THIS MANUAL................................................................................................................................ 1-1
1.1
1.2
1.3
1.4
1.5
2.
INTRODUCTION ........................................................................................................................................... 1-1
AUDIENCE .................................................................................................................................................. 1-1
ABBREVIATIONS ......................................................................................................................................... 1-1
GLOSSARY OF ICONS .................................................................................................................................. 1-2
RELATED DOCUMENTS ............................................................................................................................... 1-2
SECURITY MANAGEMENT........................................................................................................................ 2-1
2.1
INTRODUCTION ........................................................................................................................................... 2-1
2.2
SETTING UP PARAMETERS AT THE BANK LEVEL ......................................................................................... 2-2
2.2.1
Invalid Logins .................................................................................................................................... 2-2
2.2.2
Specifying Parameter ......................................................................................................................... 2-3
2.2.3
Specifying Warning Screen Text ........................................................................................................ 2-3
2.2.4
Specifying Parameters for User Passwords ....................................................................................... 2-3
2.2.5
Placing Restrictions on User Passwords ........................................................................................... 2-5
2.2.6
Password Restrictions........................................................................................................................ 2-6
2.3
USER DETAILS MODIFICATION IN BULK ..................................................................................................... 2-7
2.4
BRANCH RESTRICTIONS FOR SPECIFIC APPLICATIONS ................................................................................ 2-8
2.5
CREATING COMMON BRANCH RESTRICTIONS ............................................................................................ 2-9
2.6
DEFINING FUNCTIONS .............................................................................................................................. 2-11
2.7
DEFINING A USER ROLE ........................................................................................................................... 2-14
2.7.1
The Procedure for Defining Role Profiles ....................................................................................... 2-15
2.7.2
Defining Functions for a Role Profile.............................................................................................. 2-15
2.7.3
Branch Restriction ........................................................................................................................... 2-16
2.7.4
Account Class Restriction ................................................................................................................ 2-17
2.7.5
Rights ............................................................................................................................................... 2-17
2.7.6
Password Restriction ....................................................................................................................... 2-19
2.7.7
Copying the Role Profile of an Existing Role .................................................................................. 2-20
2.7.8
Closing a Role Profile...................................................................................................................... 2-20
2.7.9
Defining Roles for Oracle FLEXCUBE Branch Users .................................................................... 2-20
2.8
DEFINING A LIMITS ROLE ......................................................................................................................... 2-21
2.9
DEFINING USER HOLIDAYS ...................................................................................................................... 2-23
2.10 VIEWING HOLIDAY SUMMARY DETAILS................................................................................................... 2-24
2.11 DEFINING A USER PROFILE ....................................................................................................................... 2-25
2.11.2
Restricted Passwords ....................................................................................................................... 2-33
2.11.3
Roles ................................................................................................................................................ 2-34
2.11.4
Rights ............................................................................................................................................... 2-35
2.11.5
Functions ......................................................................................................................................... 2-37
2.11.6
Tills .................................................................................................................................................. 2-39
2.11.7
Account Classes ............................................................................................................................... 2-39
2.11.8
General Ledgers .............................................................................................................................. 2-40
2.11.9
Limits ............................................................................................................................................... 2-41
2.11.10
Branches ...................................................................................................................................... 2-43
2.11.11
Products ....................................................................................................................................... 2-44
2.11.12
Group Code Restriction ............................................................................................................... 2-45
2.11.13
Disallowed Functions .................................................................................................................. 2-46
2.11.14
Users Holiday .............................................................................................................................. 2-47
2.11.15
Centralized Role .......................................................................................................................... 2-48
2.11.16
Dashboard Mapping .................................................................................................................... 2-48
2.11.17
Copying the User Profile of an Existing User ............................................................................. 2-50
2.11.18
Deleting a User Profile ................................................................................................................ 2-50
2.11.19
Closing a User Profile ................................................................................................................. 2-50
2.12 SPECIFYING DEPARTMENT DETAILS ......................................................................................................... 2-50
2.13
2.14
3.
DEFINING ALERTS FOR USERS .................................................................................................................. 2-51
SINGLE SIGN ON (SSO) ENABLED ENVIRONMENT ................................................................................... 2-53
ASSOCIATED FUNCTIONS ......................................................................................................................... 3-1
3.1
CLEARING A USER ID ................................................................................................................................. 3-1
3.2
CHANGING THE SYSTEM TIME LEVEL......................................................................................................... 3-1
3.3
VIEW CURRENT USERS ............................................................................................................................... 3-2
3.4
DEFINING LANGUAGE CODES ..................................................................................................................... 3-3
3.5
CHANGING THE BRANCH OF OPERATION .................................................................................................... 3-4
3.6
CHANGING THE USER PASSWORD ............................................................................................................... 3-4
3.7
MAINTAINING SSO PARAMETERS .............................................................................................................. 3-5
3.8
MAINTAINING TRANSACTION STATUS CONTROL ....................................................................................... 3-6
3.9
MAINTAINING ERROR MESSAGES ............................................................................................................... 3-7
3.9.1
Configuring Customized Hot Keys for Launching Screens ................................................................ 3-8
3.10 VIEWING USER ACTIVITIES ........................................................................................................................ 3-9
3.11 VIEWING BRANCH STATUS ......................................................................................................................... 3-9
4.
ERROR CODES AND MESSAGES .............................................................................................................. 4-1
4.1
5.
ERROR CODES ............................................................................................................................................ 4-1
REPORTS ........................................................................................................................................................ 5-1
5.1
EVENTS LOG REPORT ................................................................................................................................. 5-1
5.1.1
Contents of the Events Log ................................................................................................................ 5-1
5.2
SECURITY MANAGEMENT SYSTEM VIOLATIONS LOG REPORT ................................................................... 5-3
5.2.1
Contents of the Security Management System Violations Log Report ............................................... 5-4
5.3
USER PROFILE REPORT ............................................................................................................................... 5-4
5.3.1
Contents of the User Profile Report................................................................................................... 5-5
5.4
CHANGES REPORT ...................................................................................................................................... 5-6
5.4.1
Contents of the Changes Report ........................................................................................................ 5-7
5.5
INACTIVE USERS AGING ANALYSIS REPORT .............................................................................................. 5-8
5.5.1
Contents of the Inactive Users Aging Analysis Report ...................................................................... 5-8
5.6
INACTIVE USERS LOG REPORT ................................................................................................................... 5-8
5.6.1
Contents of the Inactive Users Log Report ........................................................................................ 5-9
5.7
ONLINE PERFORMANCE STATISTICS REPORT............................................................................................ 5-10
5.7.1
Contents of the Online Performance Statistics Report .................................................................... 5-10
5.8
BATCH PERFORMANCE STATISTICS REPORT ............................................................................................. 5-11
5.8.1
Contents of the Performance Statistics report ................................................................................. 5-12
6.
SCREEN GLOSSARY .................................................................................................................................... 6-1
6.1
FUNCTION ID LIST...................................................................................................................................... 6-1
1. About this Manual
1.1 Introduction
This Manual is designed to help you to quickly get familiar with the Security Management System
(SMS) module of Oracle FLEXCUBE.
It provides an overview of the module and takes you through the various stages in setting- up and
using the security features that Oracle FLEXCUBE offers.
Besides this User Manual, you can find answers to specific features and procedures in the Online
Help, which can be invoked, by choosing Help Contents from the Help Menu of the software. You
can further obtain information specific to a particular field by placing the cursor on the relevant
field and striking <F1> on the keyboard.
1.2 Audience
This Manual is intended for the following User/User Roles:
Role
Function
Oracle FLEXCUBE
Implementers
To set up the initial startup parameters in the individual client
workstations.
To set up security management parameters for the Bank.
SMS Administrator for
the Bank
To set the SMS bank parameters.
SMS Administrator for
the Branch
To create User and Rsddole profiles for the branches of your bank.
Will also grant access to the various functions to the Users.
A Oracle FLEXCUBE
user
Any user of Oracle FLEXCUBE whose activities are traced by the
SMS module.
To identify the Branch level SMS Administrators.
1.3 Abbreviations
Abbreviation
Description
FC
Oracle FLEXCUBE
AEOD
Auto End of Day
BOD
Beginning of Day
EOD
End of Day
EOTI
End of Transaction Input
EOFI
End of Financial Input
The System
This term is always used to refer to Oracle FLEXCUBE
1-1
Abbreviation
Description
SI
Standing Instructions
MM
Money Market
RM
Relationship Manager
1.4 Glossary of Icons
This User Manual may refer to all or some of the following icons.
Icons
Function
Exit
Add row
Delete
row
Option
List
1.5 Related Documents
The Procedures User Manual
1-2
2. Security Management
2.1 Introduction
Controlled access to the system is a basic parameter that determines the robustness of the
security in banking software. In Oracle FLEXCUBE, we have employed a multi-pronged approach
to ensure that this parameter is in place.
Only Authorized Users Access the System
First, only authorized users can access the system with the help of a unique User ID and a
password. Secondly, a user should have access rights to execute a function.
User Profiles
The user profile of a user contains the User ID, the password and the functions to which the user
has access.
Restricted Number of Unsuccessful Attempts
You can define the maximum number of unsuccessful attempts after which a User ID should be
disabled. When a User ID has been disabled, the Administrator should enable it. The password of
a user can be made applicable only for a fixed period. This forces the user to change the
password at regular intervals thus reducing security risks. Further, you can define passwords that
could be commonly used by a user as Restrictive Passwords at the user, user role and bank
level. A user cannot use any password that is listed as a Restrictive Password at any of these
levels.
Restricted Access to Branches
You can indicate the branches from where a user can operate in the Restricted Access screen.
All Activities Tracked
Extensive log is kept of all the activities on the system. You can generate reports on the usage of
the system anytime. These reports give details of unsuccessful attempts at accessing the system
along with the nature of these attempts. It could be an invalid password attempt, the last login
time of a user etc.
Audit Trail
Whenever a record is saved in the module, the ID of the user who saved the record is displayed
in the ‘Input By’ field at the bottom of the screen. The date and time at which the record is saved
is displayed in the Date/Time field.
A record that you have entered should be authorized by a user, bearing a different login ID,
before the EOD is run. Once the record is authorized, the ID of the user who authorized the
record will be displayed in the ‘Authorized By’ field. The date and time at which the record was
authorized is displayed in the ‘Date/Time’ field positioned next to the ‘Authorized By’ field.
The number of modifications that have happened to the record is stored in the field ‘Modification
Number’. The Status of the record whether it is Open or Closed is also recorded in the ‘Open’
checkbox.
2-1
2.2 Setting up Parameters at the Bank Level
Certain parameters related to security management should be defined at the bank level. These
parameters will apply to all the users of the system. Examples of such parameters are the
number of invalid login attempts after which a user-id should be disabled, the maximum and
minimum length for a password, the number of previous passwords that should not be used, the
interval at which the password should be changed by every user, etc.
You can invoke the ‘SMS Bank Parameters Maintenance’ screen by typing ‘SMDBKPRM’ in the
field at the top right corner of the Application tool bar and clicking on the adjoining arrow button.
You can modify the Bank Parameters only when the Head Office branch is in the transaction
input stage.
2.2.1 Invalid Logins
You can specify the allowable number of times an invalid login attempt is made by a user. Each
user accesses the system through a unique User ID and password. While logging on to the
system, if either the User Id or the Password is wrong, it amounts to an invalid login attempt.
You can stipulate the allowable number of cumulative invalid attempts made during the course of
a day, as well as the allowable number of consecutive or successive invalid attempts made at a
time. In either case, if the number of invalid attempts exceeds the stipulated number, the user ID
is disabled.
By default, the allowable number of cumulative invalid attempts is six, and the allowable number
of consecutive invalid attempts is three. You can change the default and specify the allowable
number of attempts in each case. You can specify an allowable number for cumulative attempts
between 6 and 99, and for consecutive (successive) attempts, between 3 and 5.
2-2
Once specified, you can change the allowable number of cumulative or consecutive login
attempts, provided you do so only at a time when no users are logged in to the system.
When authentication of credentials is unsuccessful due to an incorrect user ID, then the user id
will not be logged in the audit logs. In case the user id is correct and the password is wrong, the
attempt is logged in the audit log and the successive and cumulative failure count is incremented.
When the user id and password are correct, this is logged into the audit logs.
2.2.2 Specifying Parameter
Archival Period in Days
You can specify the period (in calendar days) for which the audit trail details of system security
related activities (such as usage of the system by a user, activities by the system administrator,
etc.) should be maintained. The system defaults to a value of 30, which you can change.
You can specify an archival period that is greater than or equal to 7 calendar days.
Dormancy Days
Oracle FLEXCUBE allows you to automatically disable the profile of all the users who have not
logged into the system for a pre-defined period of time. A user ID is considered dormant if the
difference between the last login date and the current date is equal to or greater than the number
of ‘Dormancy Days’ that you specify in this screen. This is reckoned in calendar days i.e. inclusive
of holidays.
All dormant users (whose home branch is same as the current branch) are disabled during the
end of day run at the current branch.
2.2.3 Specifying Warning Screen Text
Warning Screen Text
At your bank, you may require a warning message containing legal requirements and security
policy to be displayed to all users before allowing them to login to Oracle FLEXCUBE.
You can specify the text (content) of such a message, in the Warning Screen Text field. This
message will be displayed soon after a user launches the Oracle FLEXCUBE login screen. The
user will be allowed to continue with the login process only after he clicks on the OK button on the
message window.
You can modify the contents of the message only during the transaction input stage. The
changes will come into effect during the next login by a user. The maximum size of the warning
message is ‘1000’ characters.
You will be allowed to specify the contents of the warning message only if the ‘Display Legal
Notice’ option is enabled.
2.2.4 Specifying Parameters for User Passwords
You can specify the following parameters that would govern user passwords:
Password Length (characters)
You can indicate the range of length (in terms of number of characters) of a user password. The
number of characters in a user password is not allowed to exceed the maximum length, or fall
below the minimum length that you specify here.
2-3
The minimum length defaults to 8, and the maximum length to 15. You can change the defaults
and specify the required range. If you do so, you can specify a minimum length between 6 and 15
characters, and a maximum length between 10 and 15 characters. The minimum length that you
specify must not exceed the maximum length that you have specified.
Force Password Change after
The password of a user can be made valid for a fixed period after which a password change
should be forced. In the ‘Force Password Change after’ field, you can specify the number of
calendar days for which the password should be valid. After the specified number of days has
elapsed for the user’s password, it is no longer valid and a password change is forced.
The number of calendar days defined here will be applicable for a password change of any nature
- either through the ‘Change Password’ function initiated by the user or a forced change initiated
by the system.
The system defaults to a value of 30, which can be changed. If you change it, the number of days
you specify here should be between 15 and 180 days, inclusive.
Password Repetitions
You can stipulate the number of previous passwords that cannot be set as the new current
password, when a password change occurs.
The system defaults to a value of three (i.e., when a user changes the user password, the user’s
previous three passwords cannot be set as the new password). You can change the default, and
if you do, you can specify a number between one and five, inclusive.
The following example illustrates how this works.
Example
While setting up the Bank Level Parameters, you have given a value of ‘2’ in the Password Repetitions field.
Mr. Smith is a user of the system with the following details:
USER ID
SMITH
Password
STEELE
If Mr. Smith wants to change his password, he should invoke the Change Password screen. He cannot
choose his old password (STEELE) again. He now enters his new password as SMITHS.
Smith wants to change his password for the second time. As the last two passwords cannot be used
(Password Repetitions = 2 in the Bank Level Parameters table), he cannot enter either STEELE or SMITHS
as his new password. He should enter a different password.
The number you specify here should be greater than or equal to 1 and less than or equal to 5.
Minimum Days between Password Changes
You can specify the minimum number of calendar days that must elapse between two password
changes. After a user has changed the user password, it cannot be changed again until the
minimum number of days you specify here have elapsed.
Intimate Users (before password expiry)
The number of days for which a password is to be valid is defined in the ‘Force Password
Change’ after field. You can also indicate the number of working days before password expiry
that a warning is to be issued to the user. When the user logs into the system (the stipulated
number of days before the expiry date of the password), a warning message will continue to be
displayed till the password expires or till the user changes it.
2-4
By default, the value for this parameter is two (i.e., two days before password expiry). You can
change the default if required. If you do, you can specify a number greater than zero and less
than or equal to five.
Example
The value specified in the Intimate User (Before Password Expiry) field is 2 and a user’s password is due to
expire on 31/01/09. The warning message is displayed on 29/01/09 and 30/01/09 whenever the user logs in.
Force Password change for a new user/Reset
You can indicate whether a new user should be forced to change the user password during the
first login after the profile is created. If you indicate so, when a new user logs in for the first time
after the profile has been created, a password change will be forced by the system.
2.2.5 Placing Restrictions on User Passwords
You are allowed to place restrictions on the number of alpha and numeric characters that can be
specified for a user password.
Maximum Consecutive Repetitive Characters
You can define the maximum number of allowable repetitive characters occurring consecutively,
in a user password. This specification is validated whenever a user changes the user password,
and is applicable for a password change of any nature - either through the ‘Change Password’
function initiated by the user or a forced change initiated by the system.
Example
The value specified in the Maximum Consecutive Repetitive Characters field is 3 and a user decides to
change his password to STUDDDD123. The System will not allow this password change as the Maximum
Repetitive Characters value has exceeded in the recurrence of ‘D’ in the password.
Minimum Number of Special Characters in Password
You can define minimum number of special characters allowed in a user password. The system
validates these specifications only when a user chooses to change the password.
If you do not specify the limits, the following default values will be used:

Minimum No of Special Characters = 1
Minimum Number of Numeric Characters in Password
Likewise, you can also define the minimum number of numeric characters allowed in a user
password. The system validates the password only when a user chooses to change his
password.
If you do not specify the limits, the following default values will be used:

Minimum No of Numeric Characters = 1
You can specify any number between 0 and 11 in each of these fields. However, you must
ensure that the sum total of the minimum number of special characters and the minimum number
of numeric characters is less than or equal to the ‘Maximum Password Length’.
Minimum Number of Lower Case Characters in Password
You can define the minimum number of lowercase characters allowed in a user password. The
allowed lower case characters are from the US-ASCII character set only. The system validates
these specifications only when a user chooses to change the password
2-5
If you do not specify the limits, the following default values will be used:

Minimum No of Lower Case Characters = 1

Maximum No of Numeric Characters = Maximum Password Length
Minimum Number of Upper Case Characters in Password
You can define the minimum number of upper case characters allowed in a user password. The
allowed upper case characters are from the US-ASCII character set only. The system validates
these specifications only when a user chooses to change the password
If you do not specify the limits, the following default values will be used:

Minimum No of Upper Case Characters = 1

Maximum No of Numeric Characters = Maximum Password Length
2.2.6 Password Restrictions
You can define a list of passwords that cannot be used by any user of the system in the bank.
This list, called the Restrictive Passwords list can be defined at three levels:
 At the bank level (applicable to all the users of the system)
 At the user role level (applicable for all the users assigned the same role)
 At the user level (applicable for the user)
The list of Restrictive Passwords should typically contain those passwords the users are most
likely to use: the name of your bank, city, country, etc. For a user role, it could contain names, or
terms, that are commonly used in the department. At the user level, it could contain the names of
loved ones, etc. By disallowing users from using such common passwords, you can reduce the
risk of somebody other than the user knowing the password.
Click ‘Password Restrictions’ button to define restricted passwords at the bank level that should
not be used by any user of the bank.
To add a password to the ‘Password’ list, click add icon. To select a record in the list use the
check box beside it.
2-6
After you listed the restrictive passwords in the ‘Password’ list, click ‘Ok’ button to save the
password restrictions.
2.3 User Details Modification in Bulk
You can change or reset user passwords in bulk if you have the system admin rights. After
modification of the user list, click ‘Save’, The modified user list will be stored in a temporary table.
The lists of users which are modified and mapped with a unique sequence number will not be
available until the particular sequence number is authorized. When the particular sequence
number is authorized those user details will be changed and updated.
You can invoke this screen by typing ‘SMDCHPWD’ in the field at the top right corner of the
Application tool bar and clicking on the adjoining arrow button.
In this screen, the following information is to be provided.
Sequence Number
Click on ‘New’ icon to generate a new ‘Sequence Number’.
Process Date
Select a date by clicking on the calendar icon beside the field. This field is generally useful for
querying purpose.
Description
Provide a description of what modification is being done on selected user ids.
User Id
Select the User Id to be changed from the option list provided.
2-7
Name
Name of the user specific to the selected user id will be displayed in this field.
Password
Password of the selected user id will be displayed here. This field will be editable only if the ‘Auto
Generation Required’ option is not selected at the application level. If the ‘Auto Generation
Required’ option is checked, the password will be auto generated by the application.
Reset Password
Select this checkbox to reset the password in case of user ids where password needs to be auto
generated.
2.4 Branch Restrictions for Specific Applications
You can restrict administrators of branches from performing operations related to specific
functions in branches other than their home branch. These are referred to as ‘Branch Restrictions
for Specific Applications’. You can also maintain a list of branches in which the administrator of a
certain branch is allowed / restricted to perform specific operations. These other restrictions are
referred to as ‘Common Branch Restrictions’.
According to the restrictions you maintain, the administrator of a specific branch is allowed to
perform specific operations in the administrator’s home branch, as well as any branch found in
the list of allowed branches.
According to your requirements, the implementers at your installation configure a list of the
specific functions or applications for which you might wish to maintain such branch restrictions.
You can maintain branch restrictions for each of these applications, as required.
In the ‘Branch Restrictions’ screen, you can specify the applications for which you intend to
maintain branch restrictions. To invoke the ‘Branch Restrictions’ screen, click ‘Branch
Restrictions’ button in the ‘SMS Bank Parameters Maintenance’ screen.
For maintaining the Branch Restrictions for an application, click add icon to add a record to the
list. Then click on each field’s option list to select the application for which you intend to maintain
branch restrictions.
2-8
You cannot create common branch restrictions for an application that you have not specified
in this screen.
Example
You wish to restrict branch administrators from performing operations in the following applications, in
branches other than their home branch:

User administration (creation, modification and viewing of user profiles)

End of Day (EOD) operations

Maintaining rules for ICCF components

Maintaining branch restrictions for IC rates
In the Restriction Type field in the SMS Branch Restriction Type screen, select USRADMIN (to maintain
branch restrictions for User Administration), EODOPERATN (to maintain branch restrictions for EOD
operations); ICCFRULE (to maintain branch restrictions for maintaining ICCF rules) and ICRATES (to
maintain branch restrictions for IC rates).
2.5 Creating Common Branch Restrictions
To recall, in the Branch Restrictions maintenance, you have identified those applications and
operations, for which you intend to maintain branch restrictions. Having done this, you must
proceed to create the appropriate common branch restrictions for each branch administrator. You
can maintain these restrictions in the common ‘Branch Restrictions’ screen.
You can invoke this screen by typing ‘SMDBRRES’ in the field at the top right corner of the
Application tool bar and clicking on the adjoining arrow button.
This can be done only at the head office branch.
2-9
In this screen, you create common branch restrictions by specifying the information described
below.
User Branch
You must first select the home branch of the administrator for which you are maintaining common
branch restrictions, in the User Branch field.
Restriction Type
You must also indicate the specific application for which you wish to maintain common branch
restrictions, for the administrator of the selected branch. You can only specify a restriction type
that has been maintained in the SMS Branch Restriction Type maintenance.
Branch Restriction
You maintain common branch restrictions by creating a list of branches for each administrator, in
which the administrator will either be allowed / disallowed access to perform operations related to
the selected application (Restriction Type). You can maintain either an ‘allowed’ or a ‘disallowed’
restriction list.
The common branch restrictions you maintain are applicable for operations in the selected
application (Restriction Type) in the home branch (User Branch) of the administrator and the list
of allowed / disallowed branches.
Example
You have created the following common branch restrictions:
Home Branch
Restriction Type
Allowed Branches
000
USRADMIN
000, 001, 002, 005
001
USRADMIN
001, 006
002
ICCFRULE
002, 005, 006
005
EODOPERATN
002, 005, 006
006
ICRATES
004, 005, 006
The administrator of branch 000 can perform user administration for the branches 000, 001, 002 and 005,
but not for 006. Similarly, the administrator of branch 002 can create ICCF rules in branches 002, 005 and
006, but not in branches 000 and 001.
When the administrator of branch 000 attempts to create a new user in the User Profile screen, the
branches available in the Home Branch field in the screen will be 000, 001, 002 and 005.
Note the following:
 The administrator of the head office branch is allowed to perform all operations in any of
the other branches
 When a new branch is created, it must be manually added to the allowed / disallowed list,
as required
 For those applications (Restriction Types) that you have specified in the SMS Branch
Restriction Types maintenance, you must create the appropriate common branch
restrictions in the Common Branch Restrictions screen. If no restrictions have been
created in the Common Branch Restrictions screen for a specific branch for an application
2-10
chosen in the SMS Branch Restriction Types maintenance, operations pertaining to the
application will not be allowed from that branch.
 To allow the administrator of a certain branch to perform operations pertaining to a specific
application for all branches, you can either maintain an allowed list with all branches
selected or maintain a disallowed list with none of the branches selected.
2.6 Defining Functions
Any function that is a part of the system should be defined through the ‘Function Description
Maintenance’ screen before it is available for execution. Mostly, our professionals carry out this
activity. You can modify the description of the function that appears in the Application Browser
through this screen. You can invoke this screen by typing ‘SMDFNDSC’ in the field at the top right
corner of the Application tool bar and clicking on the adjoining arrow button.
The following details are captured here:
Function Identification
Select the Function id for which you want to give access rights, from the option list.
Module
Select the module to which the Function id has to be mapped. All Functions are mapped to
specific modules.
Name
Specify the executable to open the Function Id.
Type
Select the type of Function Id here from the drop-down list. The options available are:
 Form
2-11
 Report
 Stored Procedure
Menu Head
Select the menu head from the drop-down list. The options available are:
 Module
 Report
You can then specify the rights to the different actions for the functions by checking against the
action. These actions can be:
 Static Maintenance Functions








New (Define a new record)
Copy (Copy details of an existing record)
Delete (Delete an existing record)
Close (Close an existing record)
Unlock (to amend an existing record)
Reopen (Reopen an existing record)
Print (Print the details of selected records)
Authorize (Authorize any maintenance activity on a record)
 Contracts and on-line transaction processing







Reverse (reverse an authorized contract)
Rollover (to manually roll over an existing contract into a new contract)
Confirm (to indicate the counterparty or broker confirmation of a contract)
Liquidate (to manually liquidate a contract)
Hold (to put a contract on hold)
Template (to save a contract as a template)
View (to see the details of the contract)
 Reports



Generate (to generate reports)
View (view the reports)
Print (print the reports)
To delete the access rights given for a Function, select the Function ID and click delete icon.
Custom Function ID
Specify a custom function id which can be used as an alias for the function id selected.
If you input this value in the field at the top right corner of the Application tool bar and click on the
adjoining arrow button, system will check for the mapped function id and will launch that function
id screen.
Tanking Required
Check this box to indicate that the maintenance records that are created or modified in the
system, for the function Id specified here, need to be tanked till they get authorized.
The new or the modified records are written to the static tables only after authorization.
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For more details on tanking of maintenance records refer the Core Services user manual.
Dual Authorization
Check this box to enable dual authorization for records that are created or modified in the system,
for the specified function id. If dual authorization is enabled then after creation or modification of a
maintenance record, an intermediate verifier (First Authorizer) has to verify the record before the
record can actually be authorized.
You cannot enable both ‘Dual Authorization’ and ‘Auto Authorization’ for a function id at the
same time, as they are mutually exclusive.
Remarks Required
Check this box to enable capturing of maker remarks on the actions like save, close and reopen
of records belonging to the selected function id.
If this box is checked then system pops up a ‘Maker Remarks’ window and forces the maker to
save remarks while saving, closing or reopening a record, The checker/authorizer can view the
maker remarks entered and also enter remarks for each modification while authorizing the record.
Excel Export Required
Check this box to enable data export for the selected function id.
If this box is checked, system allows you to export data from records belonging to the selected
function id into an excel file.
Multi Branch Access Required
Check this box to configure dual access framework for the function ID.
Note the following:
 If the function level check box is unchecked, the transactions will be posted in the current
branch.
 Dual access functionality is enabled only when the ‘Multi Branch Access’ check box is
checked at ‘User ID’ and ‘Function ID’ levels.
Available
Check this box to make the Function accessible in the Oracle FLEXCUBE menu. The definition of
the menu would be as specified in the Column at the bottom of the ‘Function Description
Maintenance’ screen. If this box is unchecked, then this screen will not be accessible from the
menu even if it is selected for the Role that is assigned to the user.
Automatic End Of Day aware
Check this box to consider the Function for an AEOD run.
Log Event
Check this box to enable the event log for a particular Function ID, Oracle FLEXCUBE maintains
an extensive log of the activities of every user. This can later be used for reporting on the user
activities.
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Cust Access
Check this box to make the Function available to Users who are classified as Customers.
Auto authorization
As configured for your installation according to your requirement, automatic authorization is
applicable for a pre-shipped list of functions. For those functions, you can revoke the applicability
of automatic authorization, if required.
It is not possible to indicate the applicability of automatic authorization for any other functions
than those pre-shipped functions configured for your installation.
Head Office Function
Check this box to enable the Function to be handled only by the users of the Head Office. Users
of the other branches would be only allowed to view the Function.
2.6.1.1 Defining the Menu
The Oracle FLEXCUBE menu can be defined in the Function Description section.
You can define menu appearance for a given Language. The Menu can only be drilled down up
to two sub menu levels.
Example
For Language Code ‘ENG’ if the Main menu value is given as Security Management’ , Sub Meu1
as ‘Maintenance’ and Sub Menu2 as ‘Function Description’ for Function id SMDFNDSC then on
the Oracle FLEXCUBE menu it would appear as follows:
2.7 Defining a User Role
It is likely that users working in the same department at the same level of hierarchy need to have
similar user profiles. In such cases, you can define a Role Profile that includes access rights to
the functions that are common to a group of users. A user can be linked to a Role Profile by
which you give the user access rights to all the functions in the Role Profile.
The roles defined will be effective only after dual authorization.
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2.7.1 The Procedure for Defining Role Profiles
Role profiles are defined in the ‘Role Maintenance’ screen. You can invoke this screen by typing
‘SMDROLDF’ in the field at the top right corner of the Application tool bar and clicking on the
adjoining arrow button.
The screen is as shown below:
2.7.2 Defining Functions for a Role Profile
After you have defined the basic attributes of a role profile (the Role Identification, Description)
you should define the functions to which the role profile has access. Check centralization role to
specify that the role is applicable for centralized users. The role is automatically associated with
all branches accessible to you, if the multi branch operational parameter is enabled. The various
functions in the system fall under different categories.
To assign a function to a role in the ‘Role Maintenance’ screen, you must click the function
category button to which the function belongs. The function category buttons in the ‘Role
Maintenance’ screen are as follows:
 Maintenance - Functions related to the maintenance of static tables
 Reports - Functions related to the generation of reports in the various modules
 Batch - Functions related to the automated operations (like automatic liquidation of
contract, interest, etc.)
 On Line - Functions related to contract processing
 Process - Functions related to workflow
 Acc Class Restriction –Functions related to restricting the role from using certain
account classes
 Branch Restriction – Functions related to restricting the association of roles to certain
branches.
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 Rights – Functions related to giving necessary rights for perform various operations in
respect of incoming and outgoing messages
 Password Restriction – Functions related to creating a list of words that the users,
having a certain Role are likely to use as Passwords and on which restrictions can be
placed.
 Web Branch – Functions related to the Teller Module for the role of branch users.
 Branch Limit – Function related to setting up Branch limits.
 Fields – Functions related to User Defined Fields.
The lower portion of the Role Description screen has buttons corresponding to each of the above
function categories. Click on a button to view the corresponding screen.
2.7.3 Branch Restriction
You can specify the branches to which the role profile is associated, and for which it is available.
Click ‘Branch Restriction’ button in the ‘Role Maintenance’ screen. The ‘Branch Restriction’
screen is opened.
You can maintain a list of branches for which the role is either:
 Allowed
 Disallowed
Choose the ‘Allowed’ option to maintain an allowed list, and the ’Branch Restrictions’ list will show
the list of allowed branches. Choose the ‘Disallowed’ option, to maintain a disallowed list of
branches.
If you maintain an ‘Allowed’ list, then the role profile will be available only for those branches that
you specify in the Branch Restrictions list. Similarly, if you maintain a ‘Disallowed’ list, then the
role profile will not be available only for those branches that you specify in the Branch Restrictions
list.
After choosing either the ‘Allowed’ or ‘Disallowed’ option, click add icon to add a record under the
‘Branch Restrictions’ list. Into each added record field, select the required branch from the
adjoining option list.
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2.7.4 Account Class Restriction
You can restrict the role from using certain account classes that are maintained in Oracle
FLEXCUBE. Click ‘Acc Class Restriction’ to specify the account class restrictions. The ‘Account
Class Restriction’ screen is displayed.
The screen is as shown below:
You can either allow or disallow association of the role with certain account classes.
Subsequently, specify the account classes, which have to be restricted for the role.
After choosing the ‘Allowed’ or ‘Disallowed’ option, click add icon to add a record under the
‘Account Class Restrictions’ list. Into each added record’s field, select the required account class
from the adjoining option list.
For more details about account class restriction, refer Account Class Restriction at User Role
maintenance and User Profile maintenance levels of this user manual.
2.7.5 Rights
For a role profile, you can specify the necessary rights to perform various operations in respect of
incoming and outgoing messages, in the Messaging module of Oracle FLEXCUBE. You can
grant specific permissions for operations on messages, as well as allot the messaging queues to
which the role has access.
In the ‘Role Maintenance’ screen, click ‘Rights’ button to open the ‘Rights’ screen. Here you can
grant the rights pertaining to the Messaging module, to the role.
The screen is as shown below:
2-17
Check against the messaging operations for which you want to grant the permission.
Granting rights pertaining to operations on messages
You can grant permissions for the following operations on outgoing messages:
 Generating a message
 Printing a message
 Placing a message on hold
 Releasing a message on hold
 Canceling a message
 Inserting a testword
 Reinstating a message
 Changing the priority of a message
 Request information relating to Status of a message
 Request cancellation of a message
 Changing the media through which a message is transmitted
 Changing the address to which a message is to be sent
 Moving a message to another branch
 Changing the node from which a message should be generated
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 Authorization of any of the operations listed above, in respect of outgoing messages
You can grant permissions for the following operations on incoming messages:
 Printing a message
 Authorizing a testword
 Routing a message to a queue
 Associating a message with a contract
 Uploading incoming messages
 Making changes (edit) incoming messages. You can also grant permissions for changing
the branch and the address in incoming messages
 Authorizing changes made to incoming messages
 ‘Force Release’ payment message transactions with ‘Funding Exception’ status and
insufficient funds
 Suppressing a message
 Deleting a message
Granting each of these permissions in the Rights screen enables the user having this role to
perform the corresponding functions in the Incoming and Outgoing Message Browsers. The
appropriate button in the Browser, in each case, is enabled for the users associated with the role.
For details regarding each of these operations in respect of both incoming and outgoing
messages, consult the Messaging System user manual
Apart from these functions, you can also grant permission for the cover matching function for
incoming payment message transactions.
For details regarding uploading incoming payment transaction messages and cover matching for
incoming payment transactions, refer the ‘Straight Through Processing’ chapter in the Funds
Transfer user manual.
Grant Queues
You can grant the message queues to which the role has access, and in which users associated
with the role can perform messaging operations according to the messaging rights you have
assigned. The required queues can be selected and listed in the ‘Queues’ list under the ‘Grant
Queues’ section.
2.7.6 Password Restriction
System allows you to create a list of words that the users, having a certain Role are likely to use
as Passwords and on which restrictions can be placed. The list of Restrictive Passwords should
contain those passwords that the users are most likely to use: the name of your bank, city,
country, etc. For a user role, it could contain names, or terms, that are commonly used in the
department. At the user level, it could contain the names of loved ones, etc. By disallowing users
from using such common passwords, you can reduce the risk of somebody other than the user
knowing the password.
Click ‘Password Restriction’ button to define the list of Restrictive Passwords for the role profile
you are defining. Any user, who is attached to the role, cannot use a password in this list.
The screen is as shown below:
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You can define only the functions that are applicable for the role and the list of Restrictive
Passwords for a role. All the other attributes of a user profile should be defined when the user
profile is being created.
2.7.7 Copying the Role Profile of an Existing Role
Often, you may have to create a Role Profile that closely resembles an existing one. In such a
case, you can copy the existing profile on to the new one.
Select ‘Copy’ from the Actions menu in the Application toolbar or click copy icon. A list of existing
role profiles will be displayed. Click on the one you want to copy. All the details of the profile
except the Role ID will be copied and displayed. Enter a unique Role ID. You can change any of
the details of the profile before saving it.
2.7.8 Closing a Role Profile
A Role Profile should be closed only if there are no users linked to it. Thus, before closing a role
profile, you should modify each user profile attached to it and delete the link to the role.
Select ‘Close’ from the Actions menu in the Application toolbar to delete an existing role profile. If
the role is linked to any user, a warning message will be displayed. This message will bring your
attention to the fact that the user profile to which the role is linked will not be the same if the role
profile is closed.
You will be prompted to confirm the closure. The Role Profile will be closed only if you confirm the
Closure.
2.7.9 Defining Roles for Oracle FLEXCUBE Branch Users
You can define a role with functions typically performed by you from Oracle FLEXCUBE Branch
system. You can maintain the role ‘Teller’ and select the branch function from the ‘Web branch’
button.
In case you wish to give access of the host functions to the ‘Teller’, you can attach role like
‘ALLROLES’ or other role with host functions in addition to the ‘Teller’ role. You can do this at the
User Profile level for the branch you are allowed.
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2.8 Defining a Limits Role
Oracle FLEXCUBE allows you to place restrictions on the amount specified by a user when
processing a transaction. You can also restrict users with authorization rights from authorizing
transactions with amounts beyond a specific limit.
To achieve this, you can define Input Limits and Transaction Authorization Limits for a user at the
time of maintaining a User Profile in Oracle FLEXCUBE. The input limits and authorization limits
will be made applicable to the following types of transactions:
 Payment transactions (FTs)
 Single Entry Journal transactions
 Multi Offset transactions
 Teller transactions
Oracle FLEXCUBE allows you to maintain different Role Limits, which can then be linked to a
user profile. The limits defined for the attached role will be applicable to the user profile to which it
is linked. The Role Limits are maintained in the ‘Role Limits Maintenance’ screen. You can invoke
this screen by typing ‘SMDRLMNT’ in the field at the top right corner of the Application tool bar
and clicking on the adjoining arrow button.
Role Identification
The Id that you specify here will uniquely identify the Role Limit throughout the system. A Role
Limit is distinct from the User Role, in that the Role Limit is designated for the specific purpose of
enabling you to set transaction amount processing limits that you wish to impose on a user.
Description
You can specify a brief description for the Role Limit being defined.
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Limits Currency
Here you will indicate the currency in which the limits (transactions amounts) will be expressed. If
a user captures a transaction in a different currency, Oracle FLEXCUBE will convert the
transaction amount to the Limits Currency and then perform the validations.
For currency conversions, the system will use the mid-rate of the STANDARD exchange rate
type maintained in your system.
Input Limit
Specify the maximum amount that a user (to which the limits role is associated) is allowed to
process while entering a transaction.
Authorization Limit
Specify the maximum amount that a user (to which the limits role is associated) is allowed to
process while authorizing a transaction.
2.8.1.1 Working of the Limits
Input Limit
If the transaction amount exceeds the input limit maintained for the Role, the system displays an
override message. Selection of the ‘OK’ button in the message window will allow the user to
continue despite exceeding the limits. If the user selects the ‘Cancel’ button, he will not be able to
continue with transaction processing.
Authorization Limit
If the transaction amount that the user is attempting to authorize exceeds the authorization limit
maintained for the Role, the system displays an override message. Selection of the ‘OK’ button in
the message window will allow the user to continue with the authorization despite exceeding the
limits. If the user selects the ‘Cancel’ button, he will not be able to continue with authorizing the
transaction.
The role limits (input and authorization) would apply to a user with which the limits role has
been associated, for operations in any of the modules listed above (that is, payment transactions,
single entry journal transactions, multi-offset transactions).
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2.9 Defining User Holidays
You can block a specific user login for a certain time frame by defining holiday slots for that user
profile. You can define holiday slots through the ‘User Holiday Maintenance’ screen. You can
invoke this screen by typing ‘SMDUSHOL’ in the field at the top right corner of the Application tool
bar and clicking on the adjoining arrow button.
The ‘User Holiday Maintenance’ screen is shown below.
Specify the following details:
Branch Code
The branch code of the user selected in the ‘User ID’ field is displayed here.
User ID
Specify the user ID of the user for whom you want to define the holiday period. The adjoining
option list displays all the valid user profiles maintained in the system. You can select the
appropriate one.
Leave From
Select the start date for the holiday period from the adjoining calendar.
Leave To
Select the end date for the holiday period from the adjoining calendar.
The user will not be allowed to log in within the specified holiday range.
Remarks
Specify a brief description for the holiday.
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You can maintain multiple holiday slots for a user but the system will not allow including a specific
day in more than one slot.
2.10 Viewing Holiday Summary Details
You can view holiday periods maintained for any user profile in the ‘Users Holiday’ screen. You
can also invoke this screen by typing ‘SMSUSHOL’ in the field at the top right corner of the
Application tool bar and clicking on the adjoining arrow button.
The screen is as shown below:
You can query for records based on the following criteria:
 Authorization Status
 Record Status
 Branch Code
 User ID
 Leave From
 Leave To
Click ‘Search’ button. Based on your preferences, the system identifies all records satisfying the
criteria and displays the following details for every record:
 Authorization Status
 Record Status
 Branch Code
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 User ID
 Leave From
 Leave To
 Maker ID
 Maker Date Stamp
 Checker ID
 Checker Date Stamp
2.11 Defining a User Profile
A User Profile defines the activities that a user can carry out on the system. It also contains the
user ID, the name through which the user will access the system and the password. The user
profiles will be effective only after dual authorization.
You can create User Profiles through the ‘User Maintenance’ screen. You can invoke this screen
by typing ‘SMDUSRDF’ in the field at the top right corner of the Application tool bar and clicking
on the adjoining arrow button. The ‘User Maintenance’ screen is shown below.
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Specify the following details:
User Identification
Specify the user identification. This ID identifies the user whose profile you are defining. In a user
ID, you can use alphabets in upper or lower case, numbers 0 to 9 and _ (underscore).
The number of characters in a User ID should be greater than or equal to six and less than 12.
Name
Specify the name of the user.
Classification
 Staff - All internal users of the bank can be classified as Staff. You can include any of the
functions available in the system in the user profile.
 Branch - This indicates a branch user. This is used to identify a branch user and branch
specific user maintenance for Branch user.
2.11.1.1 Restrictions on User Profile Administration
A branch administrator can create, modify or delete user profiles only in the Head Office, Home
branch of the administrator or in those branches that are allowed for the restriction type
USRADMIN, in the Common Branch Restrictions.
When the administrator of a branch attempts to create a new user in the User Profile screen, the
branches available in the Home Branch field in the screen are only those allowed branches
maintained in the Common Branch Restrictions for restriction type ‘USERADMIN’.
For details about the Common Branch Restrictions, refer the section ‘Creating Common Branch
Restrictions’ in this user manual.
Example
You have created the following branch restrictions:
Home Branch
Restriction Type
Allowed Branches
000
USRADMIN
000, 001, 002, 005
001
USRADMIN
001, 006
The administrator of branch 000 can perform user administration for the branches 000, 001, 002 and 005,
but not for 006.
When the administrator of branch 000 attempts to create a new user in the User Profile screen, the
branches available in the Home Branch field in the screen will be 000, 001, 002 and 005.
Language
Select the Language in which the Users screen have to be defined, from the option list. The
Language Codes maintained through the ‘Language codes’ screen will be available for selection.
Home Branch
By default the Current Branch is displayed here. All users have to be attached to a branch.
User Status
Select the status of the user from the options available. The options available are:
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 Enabled
 Hold
 Disabled
For a user to be able to login to Oracle FLEXCUBE, his status should be set as ‘Enabled’. The
field ‘Status Changed on’ displays the date and time when the Status of the User was last
changed.
Customer Number
For User Profiles of your choice, Oracle FLEXCUBE allows you to restrict the viewing and printing
of Balances (in case of accounts) and financial details of contracts involving customers who also
happen to be employees of your bank. In order to enable this option, while creating the User
Profile of the employee you can link the customer number (CIF ID) of the employee with the User
ID.
Supervisor Identification
Specify the ID of the supervisor of the user. The option list displays all valid supervisor
identifications maintained in the system. Choose the appropriate one.
In case of relationship managers, you can also use this field to define the RM hierarchy. For
defining RM hierarchy in this method, you need to select the RM user who is one level up in the
hierarchical order as the supervisor.
If the user is the superior in the RM hierarchical order, you can specify his/her own user ID as
supervisor ID. The supervisor ID option list also shows the user ID of the user being maintained.
This means, you can define an RM user as his/her own supervisor.
The RM hierarchy defined in this method is enabled only if the checkbox ‘RM Hierarchy
Setup Required’ is not checked in ‘Bank Parameters Maintenance’ screen.
Supervisor Name
Based on the supervisor ID selected, the system displays the name of the supervisor.
Department Code
Specify the department code. The adjoining option list displays a list of all the valid department
codes maintain in the system. You can choose the appropriate one.
Department Description
The system displays the Department description.
Tax Identifier
Specify the tax identifier code of the customer to monitor Anti Money Laundering activities.
A user with restricted access will not be able to view/print details of contracts involving the
product in all Contract Functions and Contract Summary screens for the following modules:
 Teller
 Retail Teller
 Clearing
 Utility Payments
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 Funds Transfer
 Payment and Collections
 The Contract Online and Cycle Due screen of SI
 Foreign Exchange (online and payment)
 The Contract Online, Value Dated Amendments and Payments Input screens of MM
 The Contract Online put, Value Dated Amendments, Payments Input and Loans
Assignment screens of LD
The other functions to which the user will have restrictive rights is as follows:
 Ad-hoc loan statement generation
 Queries – Accounting Entries
 Customer Based Information Retrieval
 Limits Overrides showing account balances
 Message Browser
 Payments and Collections Message browser
In the Payments and Collection module the restriction is applicable to product categories and
not products.
If a balance exception has occurred, the balances are not displayed for the restricted user but will
be replaced by **.
The restricted users will be able to:
 View/print financial information pertaining to contracts they have initiated or view/print
balances pertaining to their own accounts
 Post transactions to the staff accounts or create contracts for staff members, even if the
user is restricted to view/print balances / contract information pertaining to other
colleagues.
 In case of balance exception during transaction posting, the balance will not be displayed.
The Exception Message will only state that the account will be ‘overdrawn’ on account of
the transaction.
 Post transactions and view transaction information until the contract is authorized. After
authorization, such users cannot access the contract
The only exception is that when the user has captured a contract, the user will be allowed to view
the details till the contract gets authorized.
LDAP DN
The LDAP Details that have been maintained in the SSO screen have to be input here. Clicking
on the ‘Validate’ button validates the LDAP details entered in the Single Sign On. The
application will verify if only one user ID in FLEXCUBE UBS is mapped to the subject (DN) while
authentication via SSO.
Time Level
Time level is defaulted to nine here. You can specify the time level you need to maintain at the
User level, if needed. You can specify values between zero and nine.
Time level can be specified at two levels - at the Branch level and at the User level.
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If you need to login, then the time level maintained at your User Profile should be greater than or
equal to that maintained at the Branch level.
Time levels are maintained to prevent you from logging into the application when the system is
processing EOC batch. Before EOC Operations, the time level of the system is increased, so that
it is higher than that maintained at the User level. However, if you are not logged out when the
Time level is raised to the one higher than yours, then you can continue to use the application.
You can modify time level at user profile level when branch is at Transaction Input stage.
After modifying the time level value to the value you need to maintain, move the cursor to any
other field and then click the save icon.
For more details, refer the Security Management System User Manual.
Last Signed On
This is a display field which shows the Date and Time of the Users last Login.
On each Sign on into the System, this field gets displayed as a Message to the User.
Staff Customer Rectification Required
Check this box to restrict a staff user from viewing, modifying or authorizing other staff customer
account details. If this box is unchecked then the staff user can view the CIF/account details of
other staff customers in the CIF/Account Maintenance or any query screens.
The staff user can view his/her own account details but won’t be able to input or authorize a
transaction irrespective of the selection of this box. In this screen, the Customer id of the staff is
linked with the user id created for the staff.
All amend or authorize operations will fail with invalid account / CIF message if you try to
amend or authorize own or other staff CIF / account details. The view restriction will not apply to
the transaction or contract screens in which the other staff accounts are involved. The view
restriction will not apply to the Oracle FLEXCUBE reports.
ELCM User ID
Specify the ELCM user ID which will be used by ELCM system to perform the ELCM
maintenance.
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ELCM User ID would be unique across all the instances of FCUBS and it should be
controlled operationally.
ELCM User ID
Specify the ELCM user ID which will be used by ELCM system to perform the ELCM
maintenance.
ELCM User ID would be unique across all the instances of FCUBS and it should be
controlled operationally.
Multi Branch Access Required
Check this box if you need to configure dual access framework for the specified User ID.
Other RM Customer Access Restricted
You can restrict the users’ access to the transactions of the customers who are assigned to a
different relationship manager. Check this box to restrict the user from viewing, creating,
authorizing or amending the transactions of the customers who are not assigned to him/her. The
customers not assigned to the RM include the customers assigned to other relationship
managers as well as those who are not assigned to any relationship manager.
If you do not check this box, the user can view, create, authorize and amend the transactions of
the customers assigned to other relationship managers.
This is applicable to the users created with their role as ‘Relationship Manager’.
Show Dashboards
Check this box if you want the system to display all the Dashboards assigned to your ‘User Role,
on the landing page.
Alerts on Home
Check this box if you want the system to display the Alerts, relevant to you, on the landing page.
Auto Authorize
To indicate that a user is allowed to perform automatic authorization, you must enable the ‘Auto
Authorize’ option in the User Maintenance screen.
If automatic authorization has been enabled for a function, branch and user profile, and such a
user has rights for both input and authorize operations, any record maintained by such a user in
the corresponding function (maintenance or online) screens will be automatically authorized when
the Save operation is performed.
Example
You have enabled automatic authorization for the following branches in the Branch Parameters:
Branch
Automatic Authorization Enabled
000
Yes
001
No
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Branch
Automatic Authorization Enabled
002
Yes
In the Function Description maintenance, automatic authorization has been enabled for the following
functions:
Function
Automatic Authorization Enabled
Customer Information Maintenance
Yes
LD Contract Online
Yes
Customer Account Maintenance
Yes
FT Contract Online
No
You have maintained automatic authorization rights for specific users in the User Profile maintenance as
shown below:
User
Automatic Authorization Enabled
Ronald
Yes
George
Yes
Smith
No
You have also maintained transaction access rights for the users as shown below:
User
Branch
Function
Input access
Authorize Access
Ronald
000
Customer Information Maintenance
Yes
Yes
Ronald
001
Customer Information Maintenance
Yes
Yes
Ronald
000
FT Contract Online
Yes
Yes
Ronald
000
Customer Account Maintenance
Yes
No
George
001
LD Contract Online
Yes
Yes
George
000
Customer Account Maintenance
Yes
Yes
Smith
000
LD Contract Online
Yes
Yes
Smith
000
Customer Account Maintenance
Yes
Yes
According to your maintenance, automatic authorization would be performed as shown below:
User
Branch
Function
Automatic
Authorization
on Save?
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Reason
User
Branch
Function
Automatic
Authorization
on Save?
Reason
Ronald
000
Customer
Information
Maintenance
Yes
Input and Authorize rights enabled
for the user, as well as automatic
authorization rights enabled for the
user, branch and function.
Ronald
001
Customer
Information
Maintenance
No
Automatic authorization not enabled
for branch 001
Ronald
000
FT Contract
Online
No
Automatic authorization not enabled
for the FT Contract Online function
Ronald
000
Customer
Account
Maintenance
No
Authorization access not enabled
for the user
George
001
LD Contract
Online
No
Automatic authorization not enabled
for branch 001
George
000
Customer
Account
Maintenance
Yes
Input and Authorize rights enabled
for the user, as well as automatic
authorization rights enabled for the
user, branch and function. The
user can also authorize any
maintenance done by the user
Ronald in this function..
Smith
000
LD Contract
Online
No
Authorization access not enabled
for the user
For more details about automatic authorization, consult the Common Procedures user manual.
User Identification
Specify the User Id with which a User logs into Oracle FLEXCUBE. This User Id is unique across
all branches. The minimum length of UserId must be six and the maximum number can be 12
characters.
User Reference
Specify an external reference number for the User Id.
User Password
Password
Specify the Users Password here. This is a Hidden Field. The Password set must not be a
restricted word. It should also be governed by the parameters set in the SMS Bank Parameters
table, like Maximum and Minimum length, Number of Alphabetic and Numeric characters etc.
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If the application level parameter which indicates the auto generation of the password is
required or not is set to Y (Yes), then this field will be disabled and the system will create a
random password in accordance with the parameters maintained at the level of the bank. The
new password will be send to the respective user via mail.
Password Changed On
The date when the password was last changed gets displayed here.
Email
Speciy a valid Email id at the time of user creation. All system generated passwords shall be
communicated to the user via this mail id.
Start Date
Specify the date from which the User is valid. The Branch date gets defaulted if no other value is
specified.
End Date
Specify the End Date upto which the User is valid. By default the user does not have an End Date
associated, unless otherwise specified.
Invalid Logins
Cumulative
The number of Cumulative Invalid Login attempts allowed for a User before the User status gets
Disabled is specified in the ‘SMS Bank Parameters’ screen. The actual attempts that a user
makes when he logs into Oracle FLEXCUBE get displayed here.
Successive
The number of Successive Invalid Login attempts allowed for a User before the User status gets
Disabled is specified in the ‘SMS Bank Parameters’ screen. The actual attempts that a user
makes while he logs into Oracle FLEXCUBE get displayed here.
2.11.2 Restricted Passwords
You can maintain a list of passwords that the user is most likely to use. For example, a user may
tend to use the names of persons, bank, department, etc. as a password, as these are easy to
remember. This might be a security risk as it will be easy for another person to guess a
password. To prevent this, you can maintain a list of passwords that the user should not use. This
list of restrictive passwords will be checked before a password is accepted when the user is
changing passwords. If the password entered by the user exists in the list, it will not be accepted.
To specify a list of passwords that the user is not allowed to use, click ‘Restricted Passwords’
button in the User Profile definition screen,
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The user for whom you are defining the restrictive passwords cannot use restrictive passwords
defined in the Bank Level Parameters screen and the Role Profile screen.
2.11.3 Roles
A Role is always associated to a User for a specific Branch. The values set at the Role level are
directly inherited by the User for that branch, like Functions Ids, Account Class and Branch
Restrictions, Input and Authorization Limits etc.
To attach the user profile you are defining to a role, you must use the ‘Roles’ screen. Click ‘Roles’
button and the ‘Roles’ screen will be displayed. The roles to be attached to the user profile can be
listed under ‘Roles’ list.
Specify the following details:
Branch Code
Specify the branch code assigned to the user role. The option list displays all the valid branch
codes maintained in the system. You can choose the appropriate one.
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Role
Specify the role assigned to the user for the selected branch. The option list displays all valid
roles maintained in the system. Choose the appropriate one.
You can assign the role of Relationship Manager to a user by selecting ‘RM-ROLE’.
Role Description
Based on the role selected, the system displays the role description.
Click add icon to add a record under the ‘Roles’ list. Specify the above details to attach more
roles to the user.
To delete a role(s) that has been attached to a user profile, check the box beside it and click
delete icon.
2.11.4 Rights
A user should have the necessary rights to perform various operations in respect of incoming and
outgoing messages, in the Messaging module of Oracle FLEXCUBE. You can grant specific
permissions for operations on messages, as well as allot the messaging queues to which the user
has access. In the User Maintenance screen, click ‘Rights’ button to grant these rights pertaining
to the Messaging module, to the user.
The screen is as shown below:
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Check against the messaging operations for which you want to grant the permission.
Granting rights pertaining to operations on messages
You can grant permissions for the following operations on outgoing messages:
 Generating a message
 Printing a message
 Placing a message on hold
 Releasing a message on hold
 Canceling a message
 Inserting a test word
 Reinstating a message
 Changing the priority of a message
 Requesting status of a message
 Requesting cancellation of a message
 Changing the media through which a message is transmitted
 Changing the address to which a message is to be sent
 Moving a message to another branch
 Changing the node from which a message should be generated
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 Authorization of any of the operations listed above, in respect of outgoing messages
You can grant permissions for the following operations on incoming messages:
 Printing a message
 Authorizing a testword
 Routing a message to a queue
 Associating a message with a contract
 Uploading incoming messages
 Making changes (edit) incoming messages. You can also grant permissions for changing
the branch and the address in incoming messages
 Authorizing changes made to incoming
 ‘Force Release’ payment message transactions with ‘Funding Exception’ status and
insufficient funds
 Suppressing a message
 Deleting a message
Granting each of these permissions in the Rights screen enables the user to perform the
corresponding functions in the Incoming and Outgoing Message Browsers. The appropriate
button in the Browser, in each case, is enabled for the user.
For details regarding each of these operations in respect of both incoming and outgoing
messages, consult the Messaging System user manual
Apart from these functions, you can also grant permission for the cover matching function for
incoming payment message transactions.
For details regarding uploading incoming payment transaction messages and cover matching for
incoming payment transactions, refer the Straight Through Processing chapter in the Funds
Transfer user manual.
Queues
You can allot the message queues to which the user has access, and in which the user can
perform messaging operations according to the messaging rights you have assigned. The
required queues can be selected and listed in the ‘Queues’ list under the ‘Grant Queues’ section.
2.11.5 Functions
In addition to attaching a user profile to a role, you can give rights to individual functions. For a
user profile to which no role is attached, you can give access to specific functions. If you have:
 Attached one or more roles to a user profile
 You have given access to individual functions to a profile to which roles are attached
The rights for Function IDs that figure in both the role and user specific functions will be applied
as explained in the following example.
Example
The role profile FXDP1 has access to New, Copy, Delete, Close, Reopen, Unlock and Print for the Forward
Rates table.
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You attach the user profile of Tanya to the role FXDP1. While allotting rights to individual functions for
Tanya, you give rights to New, Copy, Delete and Close for the Forward Rates table. The role has access
rights to Reopen, Unlock and Print in addition to these. In such a case, the user profile of Tanya will have
rights to only the functions to which rights are given at the user profile level (that is, New, Copy, Delete and
Close) even if the role FXDP1 has rights to other functions.
To give access to functions for the user profile you are defining, click ‘Functions’ button in the
‘User Profile Definition’ screen. The ‘Functions’ screen will be displayed as shown below:
The various functions in the system fall under different categories.
To assign a function to a user profile in the User Functions screen, you must select the tab of the
function category to which the function belongs. The function categories and their respective tab
in the User Functions screen are as follows:
Category
(Tab)
Description
Maintenance
Functions relating to the maintenance of static tables.
On-line
Functions relating to contract processing.
Batch
Functions relating to the automated operations (like automatic
liquidation of contract, interest, etc.)
Reports
Functions relating to the generation of reports in the various
modules.
Process
Functions relating to access rights for the tasks under a process
Click on the corresponding category tab to associate the required functions as described below:
To add a function, click add icon. At Function Identification, you should select the function for
which you want to give rights. The adjoining option list displays a list of Function IDs belonging to
the category along with their descriptions. From this list you can pick up the function for which you
want to give access rights by double clicking on it when it is highlighted. You can then specify the
rights to the different actions for the functions by checking against the action.
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2.11.6 Tills
You can restrict the user from using certain tills maintained at your bank. Such restrictions can be
specified in the ‘Tills’ screen. Click ‘Tills’ button to invoke the ‘Tills’ screen.
You can either allow or disallow the user from using certain tills.
 Select the option ‘Allowed’ if you want to allow the user to manage certain tills
 Select the option ‘Disallowed’ to disallow the user to manage certain tills
After choosing either the ‘Allowed’ or ‘Disallowed’ option, click add icon to add a record under the
‘Tills’ list. Into each added field select the required Till Id by clicking the adjoining option list.
2.11.7 Account Classes
You can restrict the user from using certain account classes that are maintained in Oracle
FLEXCUBE in two ways.

You can map an user role which has an account class restriction at User Role level, for
an allowed branch in the Roles button at User Profile level.
Restricted account classes can be viewed in ‘Account Class’ option list at User Role level
and not at User Profile level.

Select account classes from the ‘Account Class’ option list and then select an option from
the following at User Profile level:


Allowed–Select to allow selected account classes and disallow unselected account
classes.
Disallow–Select to disallow selected account classes and allow unselected account
classes.
In both the cases, user can query customer accounts belonging to restricted account class.
However, the system will not allow creation and modification of an account under restricted
account class.
Click ‘Account Classes’ button to specify such account class restrictions.
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You can either allow or disallow the user from using certain account classes. Subsequently,
specify the account classes, which have to be allowed or restricted for the user depending on the
option selected. The following options are provided:

Allowed–Select to allow user to use specified account classes.

Disallowed–Select to disallow user to use specified account classes.
2.11.8 General Ledgers
You can restrict the user from posting entries to certain General Ledgers (GLs) maintained in
Oracle FLEXCUBE. Further, you can restrict the user from posting entries to specific node and
leaf GLs. Click ‘General Ledgers’ button to specify the GL restrictions.
You can either allow or disallow the user from using certain GLs. Select the node GLs and leaf
GLs that you want to restrict.
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2.11.9 Limits
You can place a limit on the transaction amount for a user. Consequently, the system will not
allow the user to process transactions exceeding a specific limit. You can also associate a user
limits or limits at the role level with a user profile. Click ‘Limits’ button to indicate the limits.
In this screen, you can choose to:
 Define user specific limits
 Link a Limits Role to the User Profile
 Maintain No Limits
The manner in which FLEXCUBE handles each of the above options is explained below:
2.11.9.1 Specifying User Specific
If you choose to maintain User Limits, you will need to specify the following details:
 Limit Currency
 Maximum Transaction Amount
 Authorization Limit
When a user processes a transaction, the system will convert the transaction amount (if the
transaction is in a different currency) to the currency in which the limit amount is expressed based
on the Standard Mid Rate. During authorization or approval of a transaction, if the amount
exceeds the limits maintained for the specific user, the system will display an override message.
When such an override is sought, the user will be allowed to continue processing depending upon
the sensitivity assigned to the override. The implementers at your installation configure this
sensitivity, depending upon your requirements. If it has been configured as ‘ignore’ or ‘warning’,
the user can continue processing (despite exceeding the input limit) by selecting ‘OK’ in the
override message window, or select ‘Cancel’ to terminate the processing. If configured to be an
‘error’, the user cannot proceed with the transaction without authorization.
The system will validate the user authorization limit at the following stages of a transaction:
 Local authorization
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 When the transaction is assigned to user manually
 On locking the assigned record
 On authorizing the records
The User Limits maintained for a User Profile are common and applicable across all the
branches of your bank.
2.11.9.2 Specifying Role of Limits
You can link a Limits Role to the User Profile. The Limits maintained for the role will be applicable
to the user profile to which it is linked.
If you select the Limits Role option, you will be required to specify the following details:
Branch
For a user, you can assign Limit Roles specific to each branch of your bank. Depending on the
branch in which the user operates, the relevant Limits Role will be made applicable. You can
select the branch from the option-list available.
You can attach only one Limits Role to a branch. Further, if you choose not to attach a Limits
Role to a particular branch, the system will not validate the limits in that branch.
Limits Role
All the Limits Roles maintained at your bank will be displayed in the option-list. You can select the
Roles you wish to link to the user profile. On selection of the Role, the following details get
defaulted:
 Limits Currency
 Input Limit
 Authorization Limit
For Journal (Single and Multi-Offset) and Teller transactions, the check will be performed on
each individual transaction i.e. each debit and credit entry.
No Limits
Select the No Limits option, to place no restrictions on the user. The user will be allowed to
specify any amount during transaction processing. Likewise, users with authorization rights will be
allowed to authorize transactions without any restrictions on the amount involved in the
transaction.
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2.11.10 Branches
To specify the branches from which the Staff and Branch users of the bank can operate, you
must use the ‘Branches’ screen.
Click ‘Branches’ button in the User Maintenance screen and ‘Branches’ screen will be displayed
as shown below.
You can maintain a list of branches to which the user is either:
 Allowed
 Disallowed
To maintain an allowed list of branches choose the Allowed option. Then the ’Branch
Restrictions’ list will show the list of allowed branches. To maintain a disallowed list of branches,
choose the Disallowed option.
If you maintain an ‘allowed’ list, then the user profile will be available only for those branches that
you specify in the Branch Restrictions list. Similarly, if you maintain a ‘disallowed’ list, then the
user profile will not be available only for those branches that you specify in the Branch
Restrictions list. Any branch that is ‘Disallowed’ will not appear to that user in his ‘Change Branch’
list.
After choosing either the ‘Allowed’ or ‘Disallowed’ option, click add icon to add a record under the
‘Branch Restrictions’ list. Into each added record’s field, select the required branch by clicking the
adjoining option list.
Note the following:
 The branch in which the user profile is defined is known as the Home Branch. The
branches the user can access are known as the Host Branches
 You should create an ID called GUEST in each branch. When a user belonging to the
Staff category changes the branch of operation, he can perform the functions defined for
the GUEST ID in the Host Branch.
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2.11.11 Products
You can restrict the user from using certain products maintained in FLEXCUBE. Such product
restrictions for the user can be specified in the ‘Products’ screen. Click ‘Products’ button and the
‘Products’ screen will be displayed.
In this screen you can place the following restrictions on the User Profile:
 Posting Restriction
 Access Restriction
Users who have posting restrictions will not be able to process transactions involving restricted
products. Users with access restrictions will not be allowed to view or print financial details of
contracts involving restricted products.
To allow or disallow the user from posting into/accessing certain products by
 Select the option ‘Allowed’ if you want to allow the user to post entries into/access certain
products
 Select the option ‘Disallowed’ to disallow the user from posting/accessing certain products
After choosing the ‘Allowed’ or ‘Disallowed’ option, click add icon to add a record under the
‘Products’ list. Into each added record’s field select the required Product Code by clicking the
adjoining option list.
Note the following:
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 If for a product the Access restriction has not been maintained but Posting is allowed the
restricted user can post transactions for that product and can view the contract information
until such time that the contract gets authorized.
 For the PC module, you can apply restrictions on product categories.
2.11.12 Group Code Restriction
You can restrict the group code for the selected Oracle FLEXCUBE user id using ‘Group Code
Restriction’ screen. To invoke this screen, click ‘Group Code Restriction’ button in ‘User
Maintenance’ screen.
Group Code
Specify whether the group code is allowed or disallowed for the Oracle FLEXCUBE user ID. You
can select one of the following:

Allowed

Disallowed
Group Code
Specify group code which is allowed or disallowed for the Oracle FLEXCUBE user. You can
select any or all of the following:

Retail

Corporate
Group Description
System describes the group code selected by the user.
User will be able to query or modify the account details only for those customers whose
group code is allowed to him. If a user tries to query or modify the account of the customer whose
group code is restricted for him, system will display the following error message:
User is restricted to query or modify the account.
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2.11.13 Disallowed Functions
You can restrict certain functions from being performed by a user. You can specify such
restrictions in the ‘Disallowed Functions’ screen. Click ‘Disallowed Functions’ button to invoke this
screen.
Click add icon to add a record under the ‘Function’ list. Into each added field, select the required
function by clicking the adjoining option list.
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2.11.14 Users Holiday
You can view holiday periods maintained for the user profile in the ‘Users Holiday’ screen. Click
‘Users Holiday’ button to invoke this screen.
The screen is as shown below:
The following details are displayed:
 Authorization Status
 Record Status
 Branch Code
 User ID
 Leave From
 Leave To
 Maker ID
 Maker Date Stamp
 Checker ID
 Checker Date Stamp
The above screen can be used only for viewing the holiday summary of the user specified in
the ‘User Holiday Maintenance’ screen. Hence all the query fields such as Authorization Status,
Branch Code, User ID etc will be disabled.
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For more information about viewing holiday details for any user profile, refer the section ‘Viewing
Holiday Summary Details’ in this document.
2.11.15 Centralized Role
The centralization role can be linked to a user here. You can view centralized role maintained for
the user profile in the ‘Centralized Role’ screen. Click ‘Centralized Role’ button to invoke this
screen.
If the multi branch operational parameter is enabled and the centralization roles are defined, then
the roles are automatically assigned to the branches based on the branch restricted details
specified in the user maintenance screen. You can also include additional list of normal roles from
the Roles sub screen.
You cannot assign a centralized role to a subset of allowed branches of a user. You have to
manually assign the normal role to each applicable branch.
2.11.16 Dashboard Mapping
If you checked the ‘Show Dashboards’ check box in the main page of the ‘User Maintenance’
screen, then you can map the specified ‘User’ to one are more Dashboards in the ‘Dashboard
Maintenance’ sub-screen. Click ‘Dashboard Mapping’ button to invoke this screen.
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The system defaults the following from the main screen:
 User Identification
 Name
Click ‘Populate’ button, the system displays DFIs mapped to the specified ‘User Role’. The
system defaults the following details:
 Function ID – Function ID of the Dashboard assigned to the ‘User’.
 Description – Description of the Dashboard
You can maintain the following details for the dash:
Sequence Number
Specify the sequence number, based on the ‘User’ preference.
Clause Wizard
Click to invoke ‘Dashboard Condition’ sub-screen. You can maintain filter conditions for each DFI
the ‘User’ is mapped to.
You can maintain filter conditions for a specific Dashboard:
Column Name
Specify the column name for which you want to maintain filter conditions. The adjoining option list
displays all valid columns available in the Dashboard. Choose the appropriate one.
Condition
Select the filter condition you want to maintain. The following conditions are available:
 AND
 OR
 (
 )
 =
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 >
 <
Click ‘Add’ to add the selected conditions to ‘Where Clause’.
Where Clause
Here, the system defaults the values specified in ‘Dashboard Condition’ screen.
Show in Dashboard
Check this box if you want to display a specific Dashboard assigned to the ‘User’.
2.11.17 Copying the User Profile of an Existing User
Often, you may have to create a user profile that closely resembles an existing one. In such a
case, you can copy the existing profile on to the new one.
Select ‘Copy’ from the Actions menu in the Application toolbar. A list of existing user profiles will
be displayed. Click on the one you want to copy. All the details of the profile except the User ID
and the password will be copied and displayed for the new user. Enter a unique User ID and give
a password. You can change any of the details of the profile before saving it.
2.11.18 Deleting a User Profile
Enter the User ID. The details defined will be displayed. Select ‘Delete’ from the Actions menu in
the Application toolbar to delete an existing user profile. Only users that have not been authorized
can be deleted by the creator. You will be prompted to confirm the deletion. The user profile will
be deleted only if you confirm the deletion.
2.11.19 Closing a User Profile
Users Ids that are no longer usable can be closed. For Closing, Enter the User ID. The details
defined will be displayed. Select ‘Close’ from the Actions menu in the Application toolbar to close
an existing user profile. The profile can be closed only if the User is currently not logged on to the
system.
You will be prompted to confirm the Closure. The user profile will be closure only if you confirm
the Closure.
2.12 Specifying Department Details
Oracle FLEXCUBE allows you to maintain department details in the system. However, only
privileged administrative users can edit the department details. You can capture department
details in the ‘Department Maintenance’ screen. You can invoke this screen by typing
‘SMDDPTMT’ in the field at the top right corner of the Application tool bar and clicking on the
adjoining arrow button.
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Department Details
Here you can specify the following:
Department Code
Specify the department code. You can enter a maximum of 3 alphanumeric characters.
Department Short Name
Specify the department short name. You can enter a maximum of 10 alphanumeric characters.
Department Description
Specify the department description. You can enter a maximum of 225 alphanumeric characters.
2.13 Defining Alerts for Users
Oracle FLEXCUBE allows you to define and send text messages to a destination user. These text
messages will be displayed as an alert on the dashboard when the destination user logs in to the
application. The user can then pick up the unprocessed messages and process it.
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You can define the message for a destination user in the ‘User Alerts’ screen. You can invoke this
screen by typing ‘SMDUSALR’ in the field at the top right corner of the Application tool bar and
clicking on the adjoining arrow button.
The following details are captured here:
User Id
Specify the id of the destination user to whom the message has to be sent.
Sequence No
Specify the sequence number of the message that you are defining.
Alert Type
Specify the alert type as I (Information).
Message
Specify the message that has to be sent to the destination user.
Status
Specify the status of the message as any of the following:
 P -Processed
 U -Unprocessed
After defining the message click ‘Exit’ button to exit from the screen.
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For more details on how the destination user can view the alert messages refer section titled
‘Unprocessed Alerts’ in the chapter ‘Getting Started with Oracle FLEXCUBE’ in ‘Procedures’ User
Manual.
2.14 Single Sign On (SSO) Enabled Environment
Provided you have opted for the SSO Enabled option at bank level, you can log in from an LDAP
(Oracle Internet Directory) external system into Oracle FLEXCUBE through the screen shown
below.
After successful authentication and authorization of the user is carried out by the LDAP (Oracle
Internet Directory), a request is forwarded to gain access into Oracle FLEXCUBE. On clicking the
‘Submit’ button you can directly get into Oracle FLEXCUBE without specifying Oracle FLEXCUBE
user id and password.
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3. Associated Functions
3.1 Clearing a User ID
When a User logs into the system, the system maintains a record of the user with the date and
time of login. On a successful, normal log out this record gets deleted.
Occasionally, you may come across a situation when a user who is logged into the system is
forced out. However, the ID of the user still continues to have a status of Currently Logged In. In
such a situation, the user will not be allowed to log in to the system again.
Such User IDs can be cleared through the ‘Clear User Profile’ screen. The Ids of the users
currently logged into the system for that branch will be displayed. You can invoke this screen by
typing ‘CLRU’ in the field at the top right corner of the Application tool bar and clicking on the
adjoining arrow button.
Select the check boxes next to the User IDs which you want to clear and then click ‘Clear’ button.
3.2 Changing the System Time Level
The time level is allotted at two levels — at the system (branch) level and at the user level. For a
user to be able to login, the time level for the user profile should be greater than or equal to that
of the system. The time level can be between zero and nine.
You can change time level of the branch by using the ‘Change Time Level’ screen. You can
invoke this screen by typing ‘SMDCHGTL’ in the field at the top right corner of the Application tool
bar and clicking on the adjoining arrow button. Click ‘Users’ button for a display of the details of
users who are currently logged in.
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This screen shows a list of all users who are currently logged in and their respective Time Levels.
When the Time Level of the branch is changed the system validates and displays a message if
the Time Level of any of the Users is lesser than that of the newly changed value. These users
can continue to log onto and work on the system till they log off. When they try to log in back the
system validates and only allows such users access whose time levels are greater than that of
the system
3.3 View Current Users
The user of a branch can view a list of all the users logged in from the current branch or from any
other the branches through the ‘Current Users’ screen.
The following details are captured here:
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Branch
You are allowed to view users logged in from the current branch as well as any other branch.
Select the any of the following options and click ‘Users’ button to view the current users of that
branch:
 Current Branch
 All Branches
The following user details are displayed here:
 Branch – The branch from which the user has logged in
 Terminal – The terminal/system from which the user has logged in
 User Identification – The name of the user
 Start Time – The time when the user logged in
3.4 Defining Language Codes
Every language that is supported by the system is identified by a Language Code. In Oracle
FLEXCUBE, this code is a three character alphanumeric code.
Invoke the ‘Language Code Maintenance – Detailed’ screen by typing ‘SMDLNGCD’ in the field at
the top right corner of the Application tool bar and clicking on the adjoining arrow button.
Example
For English, the code you could enter in Oracle FLEXCUBE could be ENG.
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3.5 Changing the Branch of Operation
Through this function, you can change the branch of operation to a branch other than the one you
are signed on to. The branches to which you can change into will be defined in your user profile.
You can change your branch of operation only when a function that has been initiated by you in
the current branch has been completed.
The screen is as shown below:
3.6 Changing the User Password
The Password of a User can be changed either when it expires or at the will of the user using the
‘Change Password‘ screen.
The following details are captured here:
Enter Old password
Specify the old password which has to be changed.
Enter new password
Specify the new password.
Confirm new password
Specify the new password.
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Click ‘Save’ to save the new password. Click ‘Cancel’ to exit the screen.
3.7 Maintaining SSO Parameters
LDAP is an external directory system which stores the details regarding user ids and password.
Once SSO has been enabled for your bank, the SSO parameters need to be maintained. This
can be done using the ‘Single Sign On Maintenance’ screen. You can invoke this screen by
typing ‘SMDSOPRM’ in the field at the top right corner of the Application tool bar and clicking on
the adjoining arrow button.
The following details can be maintained in this screen:
LDAP Host
Indicate the machine or server name where LDAP (Oracle Internet Directory) is installed.
LDAP Port
Specify the network Port number where the LDAP (Oracle Internet Directory) listen to the Server.
LDAP Admin id
Specify the admin user id of the LDAP (Oracle Internet Directory).
LDAP Password
Specify the Password for the LDAP Admin User which is provided during installation.
LDAP Base
Specify the directory information tree (DIT) structure under which the data is to be stored, which
is provided during installation. This is used while validating the user present in the LDAP (Oracle
Internet Directory).
3-5
Time Out Duration (Sec)
You can stipulate the allowable idle time (in seconds) that a user can spend without performing
any activity, after logging in to the system.
3.8 Maintaining Transaction Status Control
The ‘Transaction Status Control Maintenance’ screen allows the user to define the various action
buttons depending on the status of the contract. You can invoke this screen by typing
‘SMDTXNST’ in the field at the top right corner of the Application tool bar and clicking on the
adjoining arrow button. For each Transaction Status, the record status ‘Authorized’ or
‘Unauthorized’, could also affect the Action buttons.
Some of the statuses that a Contract could have are:
 Y-Irrevocable
 A-Authorized
 U-Unauthorized
 V-Reversed
 L-Liquidated
 S-Closed
 H-Hold
 K-Cancelled
 N-NON-CUMULATIVE
 T-TIME
 O-OUR
Check the box against a transaction record to select the actions allowed for that transaction.
Following are the actions that are allowed on a record:
 New
 Copy
 Delete
3-6
 Close
 Unlock
 Reopen
 Print
 Auth
 Reverse
3.9 Maintaining Error Messages
Error codes provide step by step support for maintenances and contract Input for a User. The
Error codes are uploaded into the system at Software installation. However the ‘Description’ and
‘Type’ of the error can be modified from the Oracle FLEXCUBE Menu. Each Error Code can be of
the following types:
 Override(O)
 Ignore / Warning (I)
 Error(E)
You can maintain error messages using the ‘Error Messages Maintenance’ screen. You invoke
this screen by typing ‘CSDERMSG’ in the field at the top right corner of the Application tool bar
and clicking on the adjoining arrow.
The following details are captured here:
Error Code
Specify a code for the error message here.
Language
Specify the language code of the error message.
3-7
Description
Specify the description for the language code.
Message
Specify the error message that has to be displayed.
3.9.1 Configuring Customized Hot Keys for Launching Screens
Oracle FLEXCUBE allows you to configure Hot keys or Shortcut keys for function ids, using which
you can launch the function id screens without typing the function ids. For this you need to map
each function id to a hot key using the ‘Hot Key Maintenance’ screen. To invoke the ‘Hot Keys
Maintenance’ screen click the option ‘Hot Keys’ under ‘Options’ menu. You invoke this screen by
typing ‘SMDHOTKY’ in the field at the top right corner of the Application tool bar and clicking on
the adjoining arrow button.
The following details are captured in this screen:
User Id
The id of the user who has logged in is displayed here.
Hot Key Details
Here, you can map a function id against each hot key. You can select the function id to be
mapped against the hot key from the adjoining option list.
3-8
3.10 Viewing User Activities
You can view a log of activities of Oracle FLEXCUBE users through the ‘User Activity’ screen.
Note that you can view user activities only through Oracle FLEXCUBE host system. This screen
is not available for viewing in the branch installations. You can invoke this screen by typing
‘SMSUSRAC’ in the field at the top right corner of the Application tool bar and clicking on the
adjoining arrow button.
The screen is displayed as below:
You can query for records based on the following criteria:
 User ID
 Branch Code
 Function ID
Click ‘Search’ button. Based on your preferences, the system identifies all records satisfying the
criteria and displays the following details for every record:
 User ID
 IP Address
 Branch Code
 Function ID
 Sequence No
 System Start Time
 System End Time
 Exit Flag
3.11 Viewing Branch Status
You can view the host connectivity status of various branches through the ‘Branch Status’ screen.
You can invoke this screen by typing ‘SMSBRNST’ in the field at the top right corner of the
Application tool bar and clicking on the adjoining arrow button.
The screen is displayed as below:
3-9
You can query for records based on the following criteria:
 Branch Code
 Branch Name
 Branch Status
Click ‘Search’ button. Based on your preferences, the system identifies all records satisfying the
criteria and displays the following details for every record:
 Branch Code
 Branch Name
 Branch Status
3-10
4. Error Codes and Messages
4.1 Error Codes
Error Code
Message
SM-00001
Unauthorized installation. Contact Oracle Financial Services representative
SM-00002
Licensed number of users exceeded. Try again after a while
SM-00003
Guest ids can sign on only via change branch function
SM-00004
Invalid login
SM-00005
User already logged in
SM-00006
User status is disabled. Please contact your system administrator.
SM-00007
User status on hold. Contact your system administrator
SM-00008
Your time level does not permit you to log in. Contact your branch system
administrator
SM-00009
Please change password now!
SM-00010
Password file missing or corrupt
SM-00011
Contact your system administrator. Oracle built in problem
SM-00012
SMTBS_passwords table missing or entries not found
SM-00014
Password due to expire on $1
SM-00015
User profile expired. Contact branch system administrator
SM-00016
Your time level does not permit you to launch this function
SM-00030
This function is currently not available for execution
SM-00031
This form $1 is not available. Contact your branch system administrator
SM-00032
The time level in the branch has changed. Your time level does not permit you
to execute any functions
SM-00033
The number of users currently executing functions in this module has exceeded
the license limit.
SM-00034
This function is not available for customer access
SM-00035
This function is not available for staff access
SM-00036
Function ID is not correct. Enter function ID again
4-1
Error Code
Message
SM-00037
Main menu and sub menu descriptions cannot be same
SM-00040
Wrong password. Enter password again
SM-00041
The new and confirmed passwords do not match. Enter passwords again
SM-00042
The password entered is restricted. Try another password
SM-00043
The password entered has already been used. Try another password
SM-00044
Length of password is less than $1 characters
SM-00045
Length of password is more than $1 characters
SM-00046
The password string contains special characters that are not allowed. Retype
password
SM-00050
Control clerks passwords do not match. Retype passwords again
SM-00060
There are users currently logged in with a lesser time level. Do you want to
change?
SM-00070
You are currently executing some functions. Exit from those functions and try
again
SM-00080
User ID already exists.
SM-00081
Negative amount not allowed
SM-00082
Start cannot be before today
SM-00083
End date cannot be before start date
SM-00084
Start date cannot be null
SM-00085
User profile saved
SM-00086
Could not save user profile
SM-00087
User profile deleted
SM-00088
Could not delete user profile
SM-00089
Mandatory or not null fields are missing
SM-00090
Role ID already exists
SM-00091
Users attached to the role. Cannot delete
SM-00092
Role deleted
4-2
Error Code
Message
SM-00093
Invalid role ID
SM-00094
Currency code not defined
SM-00095
Branch code not defined
SM-00096
Customer no not defined
SM-00097
Customer category not defined
SM-00098
Role profile saved
SM-00100
Cannot delete the role. There are users attached to this role.
SM-00101
Cannot delete function. There are users attached to this function.
SM-00102
Cannot modify function. There are users attached to this function.
SM-00103
Do you want to delete the user?
SM-00104
Do you want to delete the role?
SM-00105
Cannot delete role. Users attached to role.
SM-00110
Site code length cannot be less than 4 characters
SM-00111
Cumulative invalid logins - number should be greater than 5 and less than 100
SM-00112
Successive invalid logins - number should be greater than 2 and less than 6
SM-00113
Password prevent reuse value should be between 1 and 5
SM-00114
Minimum password length should be between 6 and 10
SM-00115
Maximum password length should be between 9 and 12
SM-00116
Graph not found. Contact your branch administrator
SM-00117
Password change after message - no of days should be greater than 15 and
less than 180
SM-00118
Archival period should be greater than 0
SM-00119
Enter the role description
SM-00120
Cannot delete/modify role of other branch
SM-00121
Idle time before sign off should be between 30 and 600
SM-00122
Password expiry message - between 0 and 5
4-3
Error Code
Message
SM-00123
Enter a valid module ID
SM-00125
Min password length should be less than Max password length
SM-00126
Override idle time should be greater than 10
SM-00130
User access to $1 $2 denied
SM-00131
Duplicate values encountered
SM-00140
Guest ID not defined in branch $1
SM-00150
Maximum value encountered
SM-00160
Users attached to the language code. Cannot delete
SM-00161
Language code already exists. Try another one
SM-00170
Reserved word cannot be used
SM-00500
Mandatory values missing or null
SM-00501
Activation key contains irrelevant characters. Wrong activation key
SM-00502
Installation with this key already done. Cannot duplicate
SM-00503
Installation not done. Contact BSA or Oracle Financial Services representative
SM-00510
No branches defined for user
SM-00520
Could not delete function. Role attached
SM-00530
Could not delete function. Users attached
SM-00171
Max password Length can not be null
SM-00172
Min password Length can not be null
SM-00173
Min password alphabets length can not be greater than Max password
alphabets length
SM-00174
Min password alphabets length can not be greater than Max password length
SM-00175
Min password alphabets length + Max password numeric length can not be
greater than Max password Length
SM-00176
Min password alphabets length + Min password numeric length can not be
greater than Min password Length
SM-00177
Min password numeric length can not be greater than Max password numeric
length
4-4
Error Code
Message
SM-00178
Min password numeric length can not be greater than Max password length
SM-00179
Min password numeric length + Max password alphabets length can not be
greater than Max password Length
SM-00180
Max password alphabets length can not be lesser than Min password alphabets
length
SM-00181
Max password alphabets length can not be greater than Max password length
SM-00183
Max password numeric length can not be greater than Max password length
SM-00184
Max password numeric length can not be lesser than Min password numeric
length
SM-00185
Password can not contain more than $1 consecutive characters
SM-00186
Password should contain atleast $1 Numeric characters
SM-00187
Password should contain atleast $1 Alphabetic characters
SM-00188
Min password alphabetic length can not be lesser than Min password length
SM-00189
Min password numeric length can not be Greater than Min password length
SM-00200
Maximum No of Consecutive Characters should be Greater than 0
SM-00201
The transaction amount exceeds the maximum input amount for the user
SM-00202
The User is Un-Authorized
SM-00203
The Last Login date was - $1
SM-00204
Failed to validate transaction limits for the User
SM-00205
Limits Id already exists
SM-00206
Dormancy Days Should be Greater than 0
SM-00207
Warning Screen Text can not be Null
SM-00208
Role Limits attached to the User are Unauthorized
SM-00209
Restriction type cannot be null
SM-00251
Value for legal notice is needed.
SM-00252
Value for legal notice is not needed.
SM-00300
Values for user limits are not applicable for the chosen transaction limit
SM-00301
Values for role limits are not applicable for the chosen transaction limit
4-5
Error Code
Message
SM-00500
Mandatory values missing or null
SM-00501
Activation key contains irrelevant characters. Wrong activation key
SM-00502
Installation with this key already done. Cannot duplicate
SM-00503
Installation not done. Contact BSA or i-flex representative
SM-00510
No branches defined for user
SM-00520
Could not delete function. Role attached
SM-00530
Could not delete function. Users attached
SM-00540
Could not delete function
SM-00550
Function successfully saved
SM-00560
Function not implemented
SM-00610
No functions defined for the user
SM-00612
You are not logged on
SM-00900
Process completed
SM-00901
Please select user ids to Enable
SM-00998
Password should be alphanumeric
SM-00999
First and last letter cannot be numeric
SM-01000
Invalid password. Bad sign on
SM-01001
Invalid name. Bad sign on
SM-01002
Successive invalid logins. Forced disable
SM-01003
Cumulative invalid logins. Forced disable
SM-01004
Password expired. Password changed
SM-01005
User initiated password change.
SM-01006
Forced password change
SM-01007
Status enabled
SM-01008
Status put on hold
SM-01009
No of licensed users for modules exceeded
4-6
Error Code
Message
SM-01010
No of licensed users for bank exceeded
SM-01011
Wrong activation key entered
SM-01012
Duplicate terminal ID encountered.
SM-01013
SMS user profile cleared
SM-01014
Restricted access program invoked by control clerks
SM-01015
User profile definition form invoked
SM-01016
Role profile definition form invoked
SM-01017
SMS bank parameters definition form invoked
SM-01018
Wrong control clerk password entered
SM-01019
Function id is not available for current module
SM-01099
Your Current amount decimal separator is not $1’. Please ask IT to change
machine oracle settings.’
SM-01100
Entries in SMS bank parameters missing
SM-01101
Could not get today s date for the head office
SM-01102
Bank code not maintained in branch table
SM-01103
Local currency not maintained in bank table
SM-01104
User already signed on
SM-01105
User $1 in branch $2 changed branch to branch $3 as user $4
SM-01205
Both Passwords expired. Change Password Now
SM-01206
Password1 expired. Change Password Now
SM-01207
Password2 expired. Change Password Now
SM-0200
Cannot restrict current password
SM-02000
Internal error: exception raised in $1
SM-02001
Enter from date
SM-02002
Enter to date
SM-02003
From date cannot be later than to date
4-7
Error Code
Message
SM-02004
Enter from time
SM-02005
Enter to time
SM-02006
From time cannot be later than to time
SM-02007
Select all users to use purge option
SM-02008
Role ID should be entered
SM-02009
User ID should be entered
SM-05000
Installation successful
SM-06001
User does not exist
SM-06500
Document Long Description is Mandatory
SM-0999
You do not have access to this function
SM-09999
Internal error: unhandled exception raised
SM-10000
Do you want to reset cumulative invalid logins to 0?
SM-10001
Head office branch code is not valid
SM-10002
Language code must be 3 characters
SM-10003
Branch is closed
SM-10004
Number of invalid logins since last logout = $1
SM-10005
This Function has been linked to a role
SM-3001
User does not have rights
SM-3002
Incorrect User ID or password
SM-555555
Sign off allowed only from home branch
SM-555556
Logout allowed only from home branch
SM-555557
Triggers in the database are disabled. Please contact System Administrator.
SM-66666
Amount exceeds users authorization limit
SM-66666
Amount exceeds users authorization limit
SM-700007
Terminal ID should be Four Characters in Length
4-8
Error Code
Message
SM-7001
Invalid User Id or Password
SM-7002
User does not have rights
SM-7003
Invalid Login
SM-7004
User already logged in
SM-7005
User Status is Disabled
SM-7006
User Status on Hold
SM-7007
Your Time level does not permit you to Login
SM-7008
Please change Password now!
SM-7010
Password file missing or corrupt
SM-7011
Oracle built in problem
SM-7012
Password due to expire on $1
SM-7013
User Profile expired
SM-7014
Wrong Password
SM-7015
Enter Password again
SM-7016
The New and Confirmed Passwords do not match
SM-7017
Enter Passwords again
SM-7018
The Password entered is Restricted. Try another Password
SM-7019
The Password entered has already been used. Try another Password
SM-7020
Length of Password is less than $1 characters
SM-7021
Length of Password is more than $1 characters
SM-7022
The Password string contains special characters that are not allowed. Retype
Password
SM-7023
Password cannot contain more than $1 consecutive identical characters
SM-7024
You cannot change Password today
4-9
Error Code
Message
SM-7025
The password should be mix of alphabetic and numeric characters
SM-7026
Control Clerks Passwords do not match. Retype Passwords again
SM-7027
There are Users currently logged in with a lesser time level. Do you want to
change?
SM-7028
User Id already exists.
SM-7029
Cumulative Invalid Logins - Number should be greater than 5 and less than 100
SM-7031
Password prevent reuse value should be between 1 and 5 Minimum
SM-7032
Password length should be between 6 and 10
SM-7033
Maximum Password Length should be between 9 and 12
SM-7034
Password expiry message - between 0 and 5
SM-7035
Password change after message - no of days should be greater than 15 and
less than 180
SM-7036
User Access to $1 $2 denied
SM-7037
Consecutive Password Characters should be greater than 1
SM-7038
The User is un-authorized
SM-7039
The Last Login date was - $1
SM-7040
Password Changed Successfully
SM-7041
Invalid Password. Bad Sign On
SM-7042
Invalid Name. Bad Sign On
SM-7043
Successive Invalid Logins
SM-7044
Forced Disable Cumulative Invalid Logins
SM-7045
Forced Disable Password expired.
SM-7046
Password changed
SM-7047
User initiated Password change
SM-7048
Forced password change
4-10
Error Code
Message
SM-7049
Status Enabled
SM-7050
Status put on
SM-7051
Hold User already Signed on
SM-7052
Do you want to reset Cumulative Invalid Logins to 0 ?
SM-7053
Number of Invalid Logins Since Last Logout = $1
SM-7054
User Password Changed Successfully
SM-7055
Change password now !!
SM-7056
Terminal Id not set
SM-7057
Message Digest not matched
SM-7058
User Not Logged In. Please login again
SM-7059
Fast Path Cannot Contain Special Characters
SM-7060
Currency sold and Currency bought can not be same.
SM-7070
Branch date is ahead of host date, cannot proceed
SM-77777
User does not have rights to authorize the override
SM-AUTH01
The transaction amount exceeds the maximum authorization amount for the
User
SM-BRN01
Not a Valid user for Branch
SM-BRN02
Password for Branch User cannot be null
SM-BVALUE1
$1 Back value days cannot be null
SM-C0050
Invalid Branch Code
SM-C0051
Function ID Already attached
SM-C0052
Branch or Function id should not be null
SM-CHBRLO
Change Branch to Home Branch In-Order to Logoff.
SM-CHBRSO
Change Branch to Home Branch In-Order to Signoff.
4-11
Error Code
Message
SM-CLBRN01
Branch User Profile Updated at Host
SM-CLS001
Users attached to Role. Close?
SM-CV001
Sequence no cannot be null
SM-CV002
Sequence no is a numeric field
SM-CV003
Group ID cannot be null
SM-CV004
Module code cannot be null
SM-CV005
Source code cannot be null
SM-CV006
Template ID cannot be null
SM-CV007
Duplicate broker ID
SM-CV008
Liquidation code cannot be null
SM-CV009
Duplicate details in record not allowed
SM-CV010
Basis amount to cannot be null
SM-CV011
Floor basis amount has to be less than basis amount to
SM-CV012
Rate cannot be null for percentage type
SM-CV013
Min amount cannot be more than floor charge for percentage type
SM-CV014
Max amount cannot be less than floor charge for percentage type
SM-CV015
Flat amount cannot be null for flat amount type
SM-CV016
Invalid rate, rate is too high
SM-CV017
Floor basis amount cannot be null
SM-CV018
Floor charge cannot be null
SM-CV019
Basis amount to cannot be less than basis amount from
SM-CV020
Duplicate rule code
SM-CV021
Minimum amount must be less than maximum amount
4-12
Error Code
Message
SM-CV022
Maximum amount must be more than minimum amount
SM-CV023
Rule cannot be null
SM-CV024
Group already exists
SM-CV025
The record is already closed
SM-CV026
Intermediate table has to be entered
SM-CV027
Upload table has to be entered
SM-CV028
Cube table has to be entered
SM-CV029
Source field cannot be null
SM-CV030
Destination field cannot be null
SM-CV031
Destination field already maintained
SM-CV032
Group ID already maintained
SM-CV033
Template ID already maintained for this group
SM-CV034
Sequence no already maintained for this group
SM-CV035
Invalid column name
SM-DATE1
Failed to convert date format
SM-DEMO01
Oracle FLEXCUBE not properly installed, exiting!
SM-DEMO02
Demo version will expire after $1 day(s)
SM-DEMO03
Welcome to Oracle FLEXCUBE
SM-DEMO04
Only one user is allowed to login in demo version of Oracle FLEXCUBE, exiting!
SM-DEMO05
Insufficient parameters to launch Oracle FLEXCUBE, exiting!
SM-DEMO06
Oracle FLEXCUBE demo version does not allow this function
SM-DEMO07
Demo version expired, please contact i-flex!!!
SM-DEMO08
Demo version allows only $1 contracts.
4-13
Error Code
Message
SM-DEMO09
Demo version expires today
SM-DTCH01
Users are running functions.
SM-DTCH02
AEOD dates not maintained
SM-DTCH03
Wrong branch status to run this form
SM-EFIN01
Users in transactions input
SM-EXTUS
Oracle FLEXCUBE has been launched from another application. Sign off
disallowed. Please exit
SM-FND01
Menu items not populated
SM-PRD02
Deletion not allowed as periods beyond $1 exist for the financial cycle
SM-PRD03
The period end date has to be the last day of a month
SM-PWC01
Password same as previously used password
SM-QRY-01
The form is in the enter-query mode. Please click on the exit toolbar button or
exit menu item to get to the normal mode.
SM-QRY01
The form is in the enter-query mode. Please click on the exit toolbar button or
exit menu item to get to the normal mode.
4-14
5. Reports
5.1 Events Log Report
The Events Log report gives details of all events that occurred over a period in time. You can
specify the period for which you require the report when you invoke the report function.
To invoke the screen to generate this report, type ‘SMRPEVLG’ in the field at top right corner of
the Application tool bar and click the adjoining arrow button.
Report For
Indicate the user of the report by choosing one of the options.
 All Users
 Selected Users
From Date
Indicate the start date by using the adjoining calendar.
To Date
Indicate the end date by using the adjoining calendar.
Purge
Check this box to purge the document.
Click ‘OK’ to generate the report.
5.1.1 Contents of the Events Log
The contents of this report are discussed under the following heads:
5-1
Header
The Header carries the title of the report, information on the branch code, the ID of the user who
generated the report, the date and time at which it was generated, the branch date, the modules
covered in the report.
Body of the report
The following details are displayed in the report.
User ID
The user who initiated the event.
Function Description
The name of the function that activated the event.
Start Time
The time at which the event was initiated.
End Time
The time at which the event was successfully completed or was
aborted. If the event has not been completed, or ‘Not Yet’ is
displayed here.
Branch Code
The code allotted to the branch .
Terminal ID
The system ID where the application is launched
System Start Time
The time when the user starts the application
System End Time
The time when the user signs out of the application
Total time spent on individual functions by individual users is also provided.
5-2
5.2 Security Management System Violations Log Report
Any attempt at violating the security of the system will be reported in the Security Violations
report. You can generate this report for a particular period.
To invoke the screen to generate this report, type ‘SMRPVLLG’ in the field at top right corner of
the Application tool bar and click the adjoining arrow button.
The screen is as shown below:
Indicate the following details:
Date Range
Indicate the date range.
From Date
Indicate the date from which you want to generate the violations report, using the adjoining
calendar.
To Date
Indicate the date until which you want to generate the violations report, using the adjoining
calendar.
Time Range
Specify the time range that should be considered for the violations report.
Sort By
Indicate the mode of sorting data in the report by choosing one of the following options:
 Date and Time
 User Identification
5-3
Purge
Check this box to indicate that the report can be purged.
Click ‘OK’ button to generate the report.
5.2.1 Contents of the Security Management System Violations Log Report
The contents of this report are discussed under the following heads:
Header
The Header carries the title of the report, information on the branch code, the ID of the user who
generated the report, the date and time at which it was generated, the branch date, the modules
covered in the report.
Body of the report
The following details are displayed in the report
User-ID
The user who was involved in the security management system violation.
Start Time
The time at which the security management system was violated.
Message
The error message if any displayed by the system during validation
Function
Description
The description of the function that was executed by the user, which
resulted in the violation.
Terminal ID
The terminal-ID of the terminal onto which the user was logged.
5.3 User Profile Report
The details of all the user profiles that have been defined are available in the form of a report. The
User Profile Report gives details of user profiles maintained for all or specific users. It includes:
 The functions attached to the role.
 The roles to which the user is attached.
 Amount limits for each user.
 Branches in which the user can operate.
 Currencies the user can use.
 Customers the user can deal with.
 Restrictive passwords defined for the user.
5-4
To invoke the screen to generate this report, type ‘SMDCUUSR’ in the field at the top right corner
of the Application tool bar and click the adjoining arrow button.
The screen is as shown below:
5.3.1 Contents of the User Profile Report
Branch Code and Name
The code allotted to the branch and the full name of the branch.
Date and Time
At which the report was generated.
Printed by
The user who has generated the report.
Spool File
If the report has been printed onto a spool file, the name of the
spool file is given here.
Sort on
The criteria on which the details have been sorted.
Date Range
The period for which the report is generated.
User-ID
The ID of the user whose details are being reported.
Name
The name of the user whose details are being reported.
Time Level
The time level of the user.
Language Code
The language assigned to the user.
Profile Expires On
The date on which the user profile is due to expire.
Status
The status of the user - enabled, on hold or disabled.
Function-ID
The function allowed for the user.
Function Description
The description of the function.
5-5
Link with Role Definition
If the user has been linked to a role, the role-ID is given here.
Maximum Transaction
Amount
The maximum amount that the user can enter in a single
transaction.
Maximum Authorization
Amount
The maximum amount that a transaction can have if it has to be
authorized by this user.
Branch Code
The branch in which the user profile is defined.
Branch Name
The name of the branch in which the user has signed on.
Currency Code
The S.W.I.F.T code of the currency in which the user can operate.
Currency Name
The name of the currency in which the user can operate.
Customer Code
The customer whose accounts can be handled by the user.
Customer Name
The name of the customer whose accounts can be handled by this
user.
Restrictive Passwords User
The passwords defined as restrictive passwords for the user.
5.4 Changes Report
This report gives details of maintenance done on the following screen:
 Static Parameters screen
 Static User Profile Details screen
 Dynamic User Profile Details screen
 Static Role Profile Details
 Static User Profile Details
5-6
You can generate this report for a particular period using the ‘Report’ screen To invoke this
screen type ‘SMRPCHLG’ in the field at top right corner of the Application tool bar and click the
adjoining arrow button
5.4.1 Contents of the Changes Report
The contents of this report are discussed under the following heads:
Header
The Header carries the title of the report, information on the branch code, the ID of the user who
generated the report, the date and time at which it was generated, the branch date, the modules
covered in the report.
Body of the report
The following details are displayed in the report
Field Name
The field that has been maintained
Input by
The Id of the person who input the details of the
transaction
Old Value
The value in the field before it was modified
New Value
The value in the field after it was modified
Date & Time
The date and time of the transaction
Auth By
The Id of the person who authorized the transaction
Date & Time
The date and time when the transaction was authorized
Record Stat
The status of the record
5-7
Field Name
The field that has been maintained
Input by
The Id of the person who input the details of the
transaction
Auth Stat
The authorization status
Function Id
The function Id
Mod No
The module number
5.5 Inactive Users Aging Analysis Report
This report gives details of users who have not used the system over a certain period. You should
enter the period when you invoke the report. The details are sorted in ascending order of the date
from which the user has not used the system.
Click ‘OK’ button if you want to generate this report. To come out of this screen without
generating the report click ‘Exit’ button.
5.5.1 Contents of the Inactive Users Aging Analysis Report
User-ID
The ID of the user who has not been using the system
Inactive Since
The date from which the user has not accessed the system
Status
The status of the user - enabled, disabled, hold, inactive
Inactivity Period
The number of days for which the user has not used the system
5.6 Inactive Users Log Report
This report gives details of users who have not used the system over a certain period. You should
enter the period when you invoke the report. The details are sorted in ascending order of the date
from which the user has not used the system. In the Application Browser, this report is available
under the SM module.
5-8
To invoke the screen ‘Scurity Maintenance Inactive Users Report’ type ‘SMRPINST’ in the field at
top right corner of the Application tool bar and click the adjoining arrow button.
5.6.1 Contents of the Inactive Users Log Report
The contents of this report are discussed under the following heads:
Header
The Header carries the title of the report, information on the branch code, the ID of the user who
generated the report, the date and time at which it was generated, the branch date, the modules
covered in the report.
Body of the report
The following details are displayed in the report
User-ID
The ID of the user who has not been using the system
Home Branch
The home branch of the bank.
Last Signed On
The date from which the user has not accessed the system
Inactive For (In days)
The number of days for which the user has not used the system
Status
The status of the user - enabled, disabled, hold, inactive
5-9
5.7 Online Performance Statistics Report
This report lists the maximum, minimum and average execution time for different actions across
transactions in Oracle FLEXCUBE. You can generate this report using the ‘Online Screen
Performance Statistics Report’ screen. To invoke this screen, type ‘SMRONSTA’ in the field at
top right corner of the Application tool bar and click the adjoining arrow button.
Specify the following details:
Function
Specify the function ID for which performance statistics need to be collected. The adjoining option
list displays all transaction related function IDs available in the system. You can select the
appropriate one. You can also leave this field blank if you have mentioned the action. This will
imply that the report needs to be generated for the given action across all function IDs.
Action
Specify the action that needs to be performed on the function ID. The adjoining option list
displays all operations for the functions IDs available in the system. You can select the
appropriate one. You can also leave this field blank if you have mentioned the action. This will
imply that the report needs to be generated for the given function ID across all actions.
Both the function and the action cannot be null at a time.
5.7.1 Contents of the Online Performance Statistics Report
The contents of this report are discussed under the following heads:
Header
The Header carries the title of the report, information on the branch code, the ID of the user who
generated the report, the date and time at which it was generated, the branch date, the modules
covered in the report.
Body of the report
The following details are displayed in the report.
5-10
Function Id
This indicates function ID of the screen.
Action
This indicates the action performed on the Function
ID.
Source
This indicates the source of the report.
Maximum Response
This indicates the maximum execution time for the
action on the Function ID.
Minimum Response
This indicates the minimum execution time for the
action on the Function ID.
Average
This indicates the average execution time of the
report to be generated.
Count
This indicates the execution count for the report to
be generated.
Log Time
Time of execution.
5.8 Batch Performance Statistics Report
This report provides the maximum, minimum and average performance record of each batch
operation across all the branches in Oracle FLEXCUBE. It also has the option of generating
report within a given date and time range. You can generate this report using the ‘Batch
Performance Statistics Report’ screen. To invoke this screen, type ‘SMRBASTA’ in the field at top
right corner of the Application tool bar and click the adjoining arrow button.
Specify the following details:
Report
You can indicate the following details for report generation:
5-11
Batch
Specify the batch for which the report has to be generated. The adjoining option list displays the
list of all batches available in the system. You can select the appropriate one. However, you can
leave this field blank if you have mentioned the branch. This will imply that the report needs to be
generated for the given branch across all batches.
Branch
Specify the branch for which the report has to be generated. The adjoining option list displays the
list of all branches available in the system. You can select the appropriate one. However, you can
also leave this field blank if you have mentioned the batch. This will imply that the report needs to
be generated for the given batch across all branches.
Period
Select the period within which the data for report generation should be fetched.
Start Date.
Indicate the date from which records should be considered for report generation, using the
adjoining calendar.
End Date
Indicate the date until which records should be considered for report generation, using the
adjoining calendar.
5.8.1 Contents of the Performance Statistics report
The contents of this report are discussed under the following heads:
Header
The Header carries the title of the report, information on the branch code, the ID of the user who
generated the report, the date and time at which it was generated, the branch date, the modules
covered in the report.
Body of the report
The following details are displayed in the report.
Eoc_Batch
Branch Code
Start Time
End Time
Max Time
This indicates the End of Cycle batch.
This indicates the code of the branch.
This indicates the start time from which
the records have been considered for
report generation.
This indicates the end time until which the
records have been considered for report
generation.
This indicates the maximum time taken for
5-12
the batch operation.
Min Time
Average Time
This indicates the minimum time taken for
batch operation.
This indicatess the average time taken for
batch operation.
5-13
6. Screen Glossary
6.1 Function ID List
The following table lists the function id and the function description of the screens covered as part
of this User Manual.
Function ID
Function Description
CSDERMSG
Error Messages Maintenance
SMDBKPRM
SMS Bank Parameters Maintenance
SMDBRRES
Branch Restrictions
SMDCHGTL
Change Time Level
SMDCUUSR
Current Users
SMDDPTMT
Department Maintenance
SMDFNDSC
Function Description Maintenance
SMDHOTKY
Hot Keys Maintenance
SMDLNGCD
Language Code Maintenance
SMDRLMNT
Role Limits Maintenance
SMDROLDF
Role Maintenance
SMDSOPRM
Single Sign On Maintenance
SMDTXNST
Transaction Status Control Maintenance
SMDUSALR
User Alerts Maintenance
SMDUSHOL
User Holiday Maintenance
SMDUSRDF
User Maintenance
SMRBASTA
Batch Performance Statistics Report
SMRONSTA
Online Screen Performance Statistics Report
SMRPCHLG
Report
SMRPEVLG
Events Log
SMRPINST
Security Maintenance Inactive Users Report
SMRPVLLG
Security Management Violation Log Report
6-1
Function ID
Function Description
SMSBRNST
Branch Status
SMSUSHOL
User Holiday Summary
SMSUSRAC
User Activity
6-2
Security Management System
[May] [2012]
Version 12.0
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